"Today’s amendments would change this requirement for the largest broker-dealers to daily computation rather than weekly"

"The rule the Commission is adopting today increases, for the largest broker-dealers, the frequency at which they must perform the reserve calculations"

"The adoption of the final amendments has been rushed in an apparent attempt to be promulgated prior to the end of the Biden Administration"

Broker-dealer received underwriting compensation that was "unreasonably and inaccurately described in the offering documents an to FINRA"

A failure to preserve 14,000 records led to a $30,000 FINRA fine

The errors in LPL’s EBS submissions were caused, in large part, by coding issues in LPL’s and/or its vendors’ EBS reporting systems

Wells Fargo self-identified and self-reported all but one of the errors that underly this Order, including five that were self-reported prior to any regulatory inquiry ...

You have to go back 10 years to when the SEC ordered certain private fund advisers to file Form PF. Apparently, seven SEC RIAs didn’t ...

Compliance scorched over trading case, firms pay for neglecting Form PF, perhaps the final DOE risk alert of the year and much more

SEC settlement highlighted compliance review failures, the CCO's communications with a rep, and the ultimate resolution