Broker-Dealers

The prohibition would not extend to a B-D that is also a state-registered investment adviser

Forms U4/U5 and continuing ed are the latest focus items

Submissions contained missing or inaccurate data for nearly five years

The failure of a broker-dealer to provide complete and accurate EBS information ... ultimately interfere[s] with the Commission’s ability to protect investors

Broker-dealers who advance their customers cash from sweep accounts won’t have the outlay count against their net assets while they wait for banks to make ...

The Request asks about non-compliance with Rule 15c3-1 if broker-dealers treat certain receivables resulting from bank sweep programs as allowable assets

IT professionals across the financial services industry are taxed to the max

Broker-dealers and even investment advisers who are worried about complying with European research rules that conflict with American law shouldn’t wait to get their affairs ...

BMA Securities violated the rule on hundreds of occasions by failing to close out allocated fail to deliver positions

Sweep is the first announced by the SRO in 2020