Growing threat of new accounts being opened online or through mobile apps using stolen or synthetic identities
The final rule amendments modernize electronic recordkeeping requirements for B-Ds, swap dealers, and swap participants
Typically, the SRO brings roughly 400 to 550 enforcement actions against individual brokers in a given year
The guidelines were revised in seven respects and detail what are considered the "most serious violations"
Case calls out need to lock down the supervision of employee' business-related text messages, including those involving senior management
Firms recommended to proactively think about the intersection between business and technologies
A federal judge ordered him to serve one year and one day in prison. The former broker could have faced up to 20 years
The novel SEC enforcement action charges broker-dealer with violating the municipal advisor registration rule
Enforcement actions reflect cases that tie back to many of the issues flagged in FINRA's 2022 exam focus report
FINRA claims broker-dealer charged commissions on low-principal transactions that were "not fair and reasonable"