Compliance lapse led Barclays Capital to overstate its advertised trading volume in thousands of instances and by 147 million shares
Amendments are aimed at more timelier reporting and the enhancement of the regulatory audit trails for U.S. Treasury securities
Update offers questions for firms to consider when evaluating their supervisory systems and risks related to options accounts approvals and monitoring
FINRA is seeking a list identifying each crypto-related communication provided and firms WSPs
Small-cap IPOs are increasingly being affected by the "ramp-and-dump" schemes
New guidance covers the perceived benefits, common types of succession plans, an overview of related rules and questions to consider
Positions resulting from stock loan activity are not considered reportable under rule 4560 as short interest by the SRO
Issues with how broker-dealers' identified venues, classified orders, and calculated net rebates flagged by the SEC
FINRA changes to the regulatory element and the firm element come with a Jan. 1 effective date
FINRA initiative is aimed at saving time, reducing costs and aiding in risk management for broker-dealers' compliance and legal staff