Broker-Dealers

The guidance follows close on the heels of the Oct. 16 effective date for revised rules relating to the expungement of customer dispute information from ...

The new rule will require certain confidential loan information to be reported to a registered national securities association

New rule will require institutional investment managers meeting or exceeding certain thresholds to report on Form SHO short position data and activity for equity securities

Proposed rule would prohibit national securities exchanges from offering volume-based transaction pricing tied to the execution of agency or riskless principal orders in NMS stocks

Fidelity Brokerage Services will pay a $900K penalty to settle FINRA charges it didn't have a system reasonably designed to approve options trading applications

The SEC charged 10 firms for widespread and longstanding failures to maintain and preserve electronic communications

Using their personal devices, these employees communicated both internally and externally by personal text messages, or other text messaging platforms such as WhatsApp and GroupMe ...

Maxim failed to file SARs for numerous transactions that it should have had reason to suspect involved possible fraudulent activity or had no business or ...

Reps recommended and executed over 2,000 trades in these customers’ accounts without regard for the high transaction costs This high volume of recommended transactions and ...

Broker-dealer's Reg BI P&Ps weren't tailored to business, offered no guidance for reps/supervisors and didn't detail enforcement mechanisms