FINRA enforcement action follows on prior exam sweep and sweep update
Broker-dealer implements numerous steps to improve system for approving customers for options trading in wake of enforcement action
Broker-dealer with a business focus on trading in microcaps only filed two SARs in just over two years
The SEC adopts a final rule to shorten the standard settlement cycle for most broker-dealer transactions from two business days after the trade date (T+2) ...
Cambria opened an account for a customer even though Cambria was aware of numerous red flags as identified in its WSPs as a result of ...
FINRA provides practices firms may want to consider when evaluating their social media influencer programs and privacy obligations
FINRA's five new focus areas are financial crimes, manipulative trading, fixed income/fair pricing, fractional shares, and Reg SHO
The rulebook is designed to enhance broker-dealers' compliance efforts, reduce costs and aid in risk management
T+1 will become a reality in May 2024 after 3-2 Commission vote
Firm failed to establish and maintain a supervisory system, including WSPs, to achieve compliance with Reg BI