Broker-Dealers

Bill St. Louis recently detailed what's on the horizon for broker-dealer enforcement in 2024

After the SEC proposed new rules in 2022 designed to force more entities to register as dealers, the Commission received many comments asking that investment ...

FINRA's annual regulatory oversight report highlights new best execution questions you should answer, including on execution quality reviews

A voluntary, three-year remote inspections pilot program allowing for fulfillment of inspection obligation of qualified branch offices is adopted

"These measures are common sense. Congress did not intend for registration and regulatory requirements to apply to some dealers and not to others"

"The final rule does not exclude investment advisers, as some commenters had hoped. Why would it make sense for an investment adviser, which is already ...

"In recent years, advancements in electronic trading have resulted in certain market participants playing an increasingly significant role in providing liquidity .... There is a ...

"This rulemaking targets proprietary trading funds (PTFs), private funds, and others who make money by buying low and selling high in the Treasury market, while ...

"Absent today’s reforms, our capital markets and financial regulators would continue to lack key data, and therefore limited oversight, over an unregistered segment of the ...

This new final rule from the SEC in 2024 would spell out when a firm must register as a dealer