Messages sent through unapproved communications methods, such as WhatsApp and other unapproved applications on personal devices, were not monitored, subject to review or archived
Section 17(a)(1) of the Exchange Act and Section 204 of the Advisers Act authorize the Commission to issue rules requiring, respectively, broker-dealers and investment advisers, ...
The alert zeroes in on independent testing, training, and the identification and verification of customers and their beneficial owners
SEC's Division of Examinations flags weaknesses Commission examiners have seen in OFAC compliance programs
Regulatory compliance headaches tied to SARs result from Merrill and BOA merger 15 years later
The Reg D offerings were conducted without the firm having established pre-existing, substantive relationships with 45 prospective investors
EXAMS encourages registrants to review and strengthen the policies, procedures, and internal controls of their AML programs to further their compliance with federal AML rules ...
SIFMA contends that, when applied to broker-dealers, many of the "core concepts and obligations of the original rule are unsuitable and unworkable"
Fifth Third acted as sole underwriter for 79 offerings of municipal securities where it sought to rely on the exemption but didn't satisfy the exemption’s ...
The SEC proposes to amend the B-D customer protection rule to require certain broker-dealers to perform their customer and B-D reserve computations and make any ...