rading and Markets is concerned about illicit activities involving low-priced securities transactions
The SRO seeks five key items via its information request letter
Firms will be required to address registered persons being named as beneficiaries or holding positions of trust for customers come Feb. 15
The SEC and FINRA in effect issued a first quarter report card on how B-Ds and dual-registrants are doing in complying with the new regulation
Two SEC commissioners believe six-month relief for non-compliance presents unacceptable risk to investors
SRO says "a key element in any firm's cybersecurity program is a robust authentication process"
The practice is "widely used" by broker-dealers, especially with customers
Principal considerations will contemplate a customer's age or mental impairment
FINRA cautions B-Ds on fraudulent e-mail purporting to be from SRO asking firms to complete survey
One in five survey respondents indicated an increased interest in investing