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Bill St. Louis recently detailed what's on the horizon for broker-dealer enforcement in 2024
SEC Chairman Gary Gensler
"I am supportive of greater post-trade transparency in the Treasury markets, which should benefit investors and issuers alike"
FINRA's annual regulatory oversight report highlights new best execution questions you should answer, including on execution quality reviews
A voluntary, three-year remote inspections pilot program allowing for fulfillment of inspection obligation of qualified branch offices is adopted
'Reasonable basis' standard still leaves open questions
Topics flagged as "new for 2024" include crypto, OTC quotations in fixed income securities, advertised volume and the market access rule
Brokerage firms contemplating making Regulation Crowdfunding offerings available on their platform to customers need to notify SRO
"Effective practices" highlighted for incident preparation and response, the reporting of cyber incidents, and available resources and contact information
Four broker-dealers were charged by FINRA with violations relating to fully paid securities lending
Tugboats and a pilot boat maneuvering a large tourist ferry into a harbour on the Greek island of Rhodes. It’s a hot, summer day with blue, cloudless sky. Mountains are visible on the horizon. Dominant colors: blue, red, orange, black, white.
Smaller firms comprise 90% of FINRA’s membership—posing unique challenges for the SRO when it crafts its rules
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