The SEC charged the spoofing scheme was orchestrated by the then-head of TD Securities Treasuries' trading desk
The shift to T+1 "has provided the appropriate balance between increasing efficiencies and mitigating risk for the industry," reports says
FINRA has observed an increase in cyberattacks and outages at third-party vendors used by brokerage firms
The amendments address minimum pricing increments for the quoting of certain NMS stocks, access fee caps, and the transparency of better priced orders
The latest B-D case touches on customer identification, account opening, and deficient regulatory technology
The SEC found that confidentiality agreements contained provisions that impeded clients from reporting potential securities violations to the Commission
FINRA charged the firm failed to establish WSPs reasonably designed to comply with the SRO's fingerprinting requirements
SRO's new type of exam review focuses on a business area or a product in which FINRA sees heightened risk
FINRA's Financial Intelligence Unit delivers threat intelligence products to communicate threat guidance to the industry
A market maker in OTC securities was charged with failing over a two-and-a-half-year period to provide best execution with respect to 1,674 orders