Hugh Kennedy
FINRA determined that SpeedTrader's supervisory system for potential manipulative trading was not reasonable in four key respects
SEC Division of Examinations sweep exam assessing how the T+1 settlement change is going
741 firms opted in to participating in the initial phase of FINRA's remote inspections pilot program
FINRA alerts B-Ds to Form BR functionality enhancements for initial Form BR submissions and updated residential supervisory location FAQs
Broker-dealer failed to "reasonably respond" to trading in 100 customer accounts that appeared to be potentially excessive and unsuitable
New notice covers this year's CE Regulatory Element training assignments and calls out the Dec. 31 completion deadline
Having P&Ps in place to address OBA requirements falls short: the policies must be enforced
The case offers the lesson that you cannot leave sections of your WSPs essentially blank
Despite the numbers of broker-dealer firms continuing to fall, reps serving the brokerage industry have hit their highest level in five years
Less than 2% of survey respondents permit the use of personal e-mail for business communications