Half of the respondents have P&Ps tied to cognitive decline and diminished capacity
SRO proposes extending hold period and allowing holds on securities transactions
Compliance bulletins on manipulative trading techniques seemingly ignored
Senior management, including compliance personnel, sent and received business-related text messages
Reps made buy recommendations for inverse ETFs without regard for suitability
The rule was last substantively amended nearly 30 years ago
Keep an eye out for account takeover schemes and new account fraud
This is the third municipal bond offerings case in four months
Proceeding in contravention of your own WSPs can prove costly
Concerns expressed about expanding required learning to all registered persons