Broker-Dealers

Both the SEC's and FINRA's exam staff flagged examining for compliance with Reg BI as an ongoing focus priority

Hennig’s written policies and procedures failed to adequately address its Disclosure Obligation because, among other things, they did not provide sufficient guidance or procedures for ...

"By levying punishment on a registered representative for failing to red-flag a transaction and consequently failing to make an internal report, we are encouraging registered ...

FINRA charged parties failed to evaluate the activities of two reps engaged in OBAs involving investment funds and private placement offerings

New report offers an overview of one of the most active forms of ransomware in 2023 and recommends mitigation techniques

NASAA report reveals a mixed bag of exam findings, with progress on Reg BI P&Ps and work to be done on conflict mitigation

The amendment, which becomes effective immediately, addresses the allocation of recoverable costs for the CAT

Instinet is charged with failing to timely file and accurately report data for tens of billions of order events to the CAT

"Market regulators—SROs and the Commission—already have benefitted from CAT in surveillance and enforcement work"

"Brokers are more sensitive to these costs than the plan participants because they have direct relationships with retail investors, but they, too, as I have ...