Bill St. Louis recently detailed what's on the horizon for broker-dealer enforcement in 2024
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
SEC Chairman welcomes the coming change to the "market plumbing" of clearance and settlement
Broker-dealer didn't regularly review, assess, or update keywords used by the firm to flag e-mails for review
A FINRA review of more than 500 crypto-asset related retail communications identified "potential violations" in 70% of the communications
Cryptocurrency has found its way onto both the SEC's and FINRA's list of 2024 focus areas
Firms are falling short of the mark in establishing, maintaining, and enforcing a supervisory system tied to OBAs
Topics flagged as "new for 2024" include crypto, OTC quotations in fixed income securities, advertised volume and the market access rule
FINRA is actively conducting risk-based reviews of firms' practices tied to off-channel communications