Broker-Dealers

Adjusting or building upon current systems of supervision/compliance an option

Look for the regulations to be enforced after Sept. 1

Two years after proposal, FINRA appears no closer to finalizing OBA rules

FINRA rules limit offering and organization expenses

The SEC has settled 15 ADR pre-release cases

FINRA was lauded for its effort to protect vulnerable adults

Rule includes an interpretation addressing the application of the portfolio reconciliation, portfolio compression, and trading relationship documentation requirements to cross-border security-based swap activities

The Commission is providing guidance regarding the application of certain uses of the terms ‘‘arranged’’ and ‘‘negotiated’’

The exam overhaul has officially launched

Some firms have concluded wires are more trouble than they are worth