Broker-Dealers

"This rulemaking targets proprietary trading funds (PTFs), private funds, and others who make money by buying low and selling high in the Treasury market, while ...

"Absent today’s reforms, our capital markets and financial regulators would continue to lack key data, and therefore limited oversight, over an unregistered segment of the ...

This new final rule from the SEC in 2024 would spell out when a firm must register as a dealer

This is an SEC final rule from 2024 that could force some firms to register as dealers

SEC Chairman welcomes the coming change to the "market plumbing" of clearance and settlement

Broker-dealer didn't regularly review, assess, or update keywords used by the firm to flag e-mails for review

'Reasonable basis' standard still leaves open questions

A FINRA review of more than 500 crypto-asset related retail communications identified "potential violations" in 70% of the communications

Cryptocurrency has found its way onto both the SEC's and FINRA's list of 2024 focus areas

Firms are falling short of the mark in establishing, maintaining, and enforcing a supervisory system tied to OBAs