Broker-Dealers

The impetus is growing belief B-Ds will continue to conduct business remotely

The fact that the recipient of the recommendation is a regulated financial services industry professional would not excuse a firm from complying with Regulation Best ...

Because the Amendment concerns the security of data used by regulators to monitor market behavior and investigate misconduct, and the processes by which broker-dealers report ...

The final rule seeks to implement the orderly liquidation provisions ... in a manner that is designed to help reduce both the likelihood and the ...

The key expected benefit of the final rule is that it creates a more structured framework to implement section 205 of the Dodd-Frank Act, so ...

UBS circumvented the priority given to retail investors in certain muni bond offerings

Cyber-baddies targeting financial professionals have stepped up their game so now’s a good time for investment advisers and broker-dealers to step up, too, OCIE says ...

"This may create incentives to act against your best interest to generate trading profits or minimize losses"

A review by the SRO has revealed deficiencies

Prompt notification of risk monitoring analyst requested