SEC to be remote through Jan. 3, sources say
Fraudulent phishing e-mails purport to be from FINRA
Option account opening, account supervision, communications and diligence are the subject of the new FINRA sweep
The imposition of additional obligations on broker-dealers with a significant history of misconduct has been approved
"We intend to monitor this important investor protection issue and will evaluate whether additional steps may be needed to address recidivist firms and brokers"
The new interpretations impact the net capital rule and the customer protection rule
FINRA will implement changes effective Oct. 1 to its private placement rules
SRO is asking B-Ds to "promptly" notify their risk monitoring analyst about digital assets plans
Feedback sought on younger, novice investors and those not working with a registered investment professional
New FINRA regulatory notice focuses on minimum equity

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