Broker-Dealers

FINRA cautions that the use of AI tools could implicate virtually every aspect of a firm's regulatory obligations

Brokerage firms contemplating making Regulation Crowdfunding offerings available on their platform to customers need to notify SRO

Commission action aims at making the Treasury market more efficient, competitive, and resilient and improving risk management practices

"Effective practices" highlighted for incident preparation and response, the reporting of cyber incidents, and available resources and contact information

Credit Suisse Securities (USA) and two affiliates to pay over $10M to settle SEC charges that they provided prohibited underwriting and advising services to mutual ...

Four broker-dealers were charged by FINRA with violations relating to fully paid securities lending

"The final rules also will allow for customer margin collected by broker-dealers to be onward posted to the clearinghouse. Allowing such rehypothecation helps both protect ...

Examiners are looking to determine whether P&Ps are "reasonably designed" based on the costs, risks, and rewards of the investment strategies recommended to customers

Violations of Reg BI's care and compliance obligations led to SEC charges against the London-based Laidlaw & Co. (UK)

Although Laidlaw had monitoring procedures to detect potential violations by reps of the quantitative prong of the Care Obligation, Laidlaw did not reasonably maintain and ...