Broker-Dealers

As an experienced lending desk supervisor at a number of broker-dealers, Domenick Migliorato was brought in to Industrial and Commercial Bank of China Financial Services ...

FINRA Oct. 8 made available resources to assist firms in complying with the SEC’s Regulation Best Interest and Form CRS by the June 30, 2020 ...

Regulators hate to see repeat violations and will penalize firms for not taking prompt corrective action the first time an issue is cited. UBS Financial ...

FINRA’s second annual report on the state of brokerage firms, registered reps, and market activity paints a good news, bad news picture. The SRO’s 2019 ...

The Ukraine has been getting its fair share of press these days. This time it’s tied to the final judgments against a brokerage firm and ...

SEC Charges Four Individuals in Broker Bribery Scheme Litigation Release No. 24637 / October 7, 2019 Securities and Exchange Commission v. Gino M. Pereira, Civil ...

We are adopting a new communications rule under the Securities Act of 1933 that permits issuers to engage in oral or written communications with certain ...

Many have struggled to define “best execution” and an SEC Commissioner would like to see the Commission add some clarity. Elad Roisman is urging the ...

Ignoring SEC guidance comes with its own peril. Back in July 2017, the Commission cautioned the digital assets industry that many digital assets are securities ...