FINRA charged parties failed to evaluate the activities of two reps engaged in OBAs involving investment funds and private placement offerings
New report offers an overview of one of the most active forms of ransomware in 2023 and recommends mitigation techniques
NASAA report reveals a mixed bag of exam findings, with progress on Reg BI P&Ps and work to be done on conflict mitigation
The amendment, which becomes effective immediately, addresses the allocation of recoverable costs for the CAT
Instinet is charged with failing to timely file and accurately report data for tens of billions of order events to the CAT
"Market regulators—SROs and the Commission—already have benefitted from CAT in surveillance and enforcement work"
"Brokers are more sensitive to these costs than the plan participants because they have direct relationships with retail investors, but they, too, as I have ...
NASAA looks to incorporate the core principles from Reg BI and SEC guidance into its conduct model rule
"Regulators need effective tools to keep pace with these changes, especially considering the potential for new technologies like AI to rapidly amplify the magnitude and ...
"The cumulative costs for CAT may soon be approaching a billion dollars. These are real costs–not theoretical–being incurred imminently"