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
The latest B-D case touches on customer identification, account opening, and deficient regulatory technology
The SEC found that confidentiality agreements contained provisions that impeded clients from reporting potential securities violations to the Commission
FINRA charged the firm failed to establish WSPs reasonably designed to comply with the SRO's fingerprinting requirements
SRO's new type of exam review focuses on a business area or a product in which FINRA sees heightened risk
FINRA's Financial Intelligence Unit delivers threat intelligence products to communicate threat guidance to the industry