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SIFMA contends that, when applied to broker-dealers, many of the "core concepts and obligations of the original rule are unsuitable and unworkable"
Young American Businessman traveling, working in New York, wearing green suit, sitting on Wall Street outside vintage office building with American flags, working on laptop computer. Filtered effect"n
After several requests by the Commission’s Examination and then Enforcement staff, Cantor conducted a multiyear lookback review for accounts that should have been assigned a ...
For the second time ever--and the second time in two months--FINRA has expelled a broker-dealer for Reg BI violations, including churning and excessive trading
Before engaging in a principal trade, an adviser would first have to disclose certain information to the client
Concerns expressed by both compliance and trading desk about a new account opening fell on deaf ears
FINRA has issued two risk alerts in less than six months cautioning about the risks of ACATS fraud
FINRA enforcement action follows on prior exam sweep and sweep update
Broker-dealer implements numerous steps to improve system for approving customers for options trading in wake of enforcement action
Firms paused fund raising for years over single trades
FINRA's five new focus areas are financial crimes, manipulative trading, fixed income/fair pricing, fractional shares, and Reg SHO

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