The correction affects swaps recordkeeping by broker-dealers and OTC derivatives dealers
BTIG did not take reasonable steps to verify that the hedge fund would deliver shares of stock sold by settlement and ignored red flags
Seth Leyton aided and abetted a scheme to defraud investors that involved obtaining either CMOs or cash to purchase CMOs. The defendants obtained more than ...
The client "contacted GWFS to report receiving a check for approximately $43,000 that he did not request. GWFS’ internal investigation determined that PPB’s personal information ...
Staff’s letter stated that the staff would not recommend enforcement action to the Commission regarding these programs for six months from issuance of the letter, ...
Market participants—including broker-dealers, exchanges, and RIAs—self-aggregate proprietary market data today. The Commission is adopting this provision to allow these market participants to aggregate consolidated market ...
The DOE seeks to remind firms of their obligations under AML rules and regulations and to assist broker-dealers in reviewing and enhancing their AML programs, ...
Broker-dealer custody of digital asset securities raises certain compliance questions with respect to the Customer Protection Rule
B-Ds that conduct a substantial securities business and thus are in a position to potentially pose significant risk to investors and to the fair, orderly, ...
From 2013 and 2016, while she was associated with the brokerage firm, McKinley stole nearly $300,000 from the accounts of the elderly client