Broker-Dealers

NASAA looks to incorporate the core principles from Reg BI and SEC guidance into its conduct model rule

"Regulators need effective tools to keep pace with these changes, especially considering the potential for new technologies like AI to rapidly amplify the magnitude and ...

"The cumulative costs for CAT may soon be approaching a billion dollars. These are real costs–not theoretical–being incurred imminently"

"The faster the CAT is completed the sooner investors in our markets can realize the full benefits from the strengthened market oversight it is designed ...

CGMI willfully violated the recordkeeping requirements of Section 17(a) of the Exchange Act and Rule 17a-3 thereunder, which require broker-dealers to make and keep current ...

SEC enforcement action underscores the need for firms growing their business through acquisition to watch client protection

Citigroup Global has agreed to pay a $2.9M penalty for recordkeeping failures tied to expenses incurred with underwriting business

In an era of political sanctions, risks aren't hypothetical, but they are exponential

Industry group seeks a 60-day comment period extension of the SEC's proposal on conflicts tied to the use of predictive data analytics

"Widespread and longstanding" e-communications retention failures result in SEC charges against 10 broker-dealers and a dual registrant