Broker-Dealers

The SRO details some themes in crypto-related violations of FINRA rules being seen

Commission staff uncovered Respondents’ misconduct after commencing a risk-based initiative to investigate the use of off-channel and unpreserved communications at broker-dealers

Tempting (and fraught) market beckons

The alert zeroes in on independent testing, training, and the identification and verification of customers and their beneficial owners

SEC's Division of Examinations flags weaknesses Commission examiners have seen in OFAC compliance programs

The Reg D offerings were conducted without the firm having established pre-existing, substantive relationships with 45 prospective investors

EXAMS encourages registrants to review and strengthen the policies, procedures, and internal controls of their AML programs to further their compliance with federal AML rules ...

SIFMA contends that, when applied to broker-dealers, many of the "core concepts and obligations of the original rule are unsuitable and unworkable"

The SEC proposes to amend the B-D customer protection rule to require certain broker-dealers to perform their customer and B-D reserve computations and make any ...

The amendments would require certain broker-dealers to compute their customer and broker-dealer deposit requirement daily rather than weekly