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Most of the largest advisers made no mention of the coronavirus or the pandemic
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 ...
Clayton mentioned upcoming OCIE risk alerts related to examining for these new regulatory responsibilities
Mail “processing is not something that I specifically spelled out in the BCP and it has to be spelled out”
Some investors are inquiring about the health of key persons
If “logistical disruptions” caused by the coronavirus prevent the accountant from doing the surprise exam, it can be delayed
FINRA wants communication on BCPs to be a two-way street
SRO has reported seeing successful "social engineering" attacks
The Request asks about non-compliance with Rule 15c3-1 if broker-dealers treat certain receivables resulting from bank sweep programs as allowable assets
The SEC is relaxing many of its rules as the coronavirus continues to burn through the world economy, but the agency’s top enforcers have issued ...
