Bill St. Louis recently detailed what's on the horizon for broker-dealer enforcement in 2024
FINRA's annual regulatory oversight report highlights new best execution questions you should answer, including on execution quality reviews
A voluntary, three-year remote inspections pilot program allowing for fulfillment of inspection obligation of qualified branch offices is adopted
SEC Chairman welcomes the coming change to the "market plumbing" of clearance and settlement
Broker-dealer didn't regularly review, assess, or update keywords used by the firm to flag e-mails for review
A FINRA review of more than 500 crypto-asset related retail communications identified "potential violations" in 70% of the communications
Cryptocurrency has found its way onto both the SEC's and FINRA's list of 2024 focus areas
Firms are falling short of the mark in establishing, maintaining, and enforcing a supervisory system tied to OBAs
This SEC final rule amends the broker-dealer customer protection rule to permit margin required and on deposit with covered clearing agencies for U.S. Treasuries to ...
Two employees involved with large blocks trades disclosed to certain buy-side investors non-public, potentially market-moving information, concerning impending "block trades, violating the selling shareholders’ expectations ...