Broker-Dealers

A secure electronic portal will replace email as the method for the filing and servicing of documents in OHO proceedings come Oct. 7

No enforcement action will be recommended if a firm relies on CRD to satisfy its record retention requirement for Form U4 filings electronically signed

The SEC extends the compliance date for amendments to rules around the disclosure of order executions from Dec. 14 to Aug. 1, 2026

The Commission has now determined to grant conditional exemptive relief to allow participants to further relax requirements related to the provision of lifecycle linkages on ...

"I have instructed staff to undertake a comprehensive review of the CAT [including] taking a hard look at the costs of CAT by examining the ...

Broker-dealer's marketing materials deemed "false and misleading" concerning the speed of the provision of market data

The new e-learning program is touted as empowering compliance professionals to combat crypto-related fraud

This signals possible regulatory rules that may be coming from Treasury and FinCEN

Tradebook distributed marketing materials stating that market data was provided at speeds 'in fractions of seconds' but this was misleading because Tradebook knew there were ...

Move will make it easier for firms to provide associated persons with uniform registration forms and pre-dispute arbitration information