Thrivent promptly identified and reported the violations during an SEC examination and paid $22k to 846 retail customers as a result
The SEC charged the spoofing scheme was orchestrated by the then-head of TD Securities Treasuries' trading desk
The shift to T+1 "has provided the appropriate balance between increasing efficiencies and mitigating risk for the industry," reports says
Vistia Capital did not timely amend its Form CRS to disclose that one of its financial professionals had disciplinary history as required
FINRA has observed an increase in cyberattacks and outages at third-party vendors used by brokerage firms
Prior to and after being approached by the Commission, Stifel enhanced its P&Ps, increased training on use of approved communications methods, and provided some personnel ...
Brighton did not disclose the incentives related to the Clearing Agreement to its advisory clients and prospective clients until June 2022 when it revised its ...
State Farm failed to establish, maintain, and enforce written policies and procedures reasonably designed to achieve compliance with Regulation BI because it did not provide ...
The firm failed to resolve known compliance system deficiencies related to the merger
The amendments address minimum pricing increments for the quoting of certain NMS stocks, access fee caps, and the transparency of better priced orders