Given that the SEC ushered in a quicker trade settlement rule in May, you would expect the DOE to conduct a sweep exam to assess ...
This is a books and records rule for B-Ds
This is the SEC rule targeting B-Ds and transfer agents regarding the retention of records
741 firms opted in to participating in the initial phase of FINRA's remote inspections pilot program
FINRA alerts B-Ds to Form BR functionality enhancements for initial Form BR submissions and updated residential supervisory location FAQs
Broker-dealer failed to "reasonably respond" to trading in 100 customer accounts that appeared to be potentially excessive and unsuitable
New notice covers this year's CE Regulatory Element training assignments and calls out the Dec. 31 completion deadline
Having P&Ps in place to address OBA requirements falls short: the policies must be enforced
The case offers the lesson that you cannot leave sections of your WSPs essentially blank
The rep recommended a $50,000 L Bond with a 5-year term to a retail customer: (1) who was a 63-year old semi-retiree; (2) who had ...