Broker-Dealers

These are the second set of FAQs the SEC staff has released related to IA's fiduciary duty and B-D's Reg BI obligations

Concerns expressed by both compliance and trading desk about a new account opening fell on deaf ears

'This is really going to help the retirees in most of your states,' Chairman says in marathon testimony.

Lavish bounties tempt whistleblower in a Washington committed to fight against 'corruption'

The proposed expansion would add the following entities to the definition of ‘‘SCI entity’’: registered security-based swap data repositories; registered broker-dealers exceeding an asset ...

Four proposals address Regulation Best Execution, enhancing order competition, tick sizes and disclosure of order execution

FINRA group assesses impact of federal debt ceiling, regional banking crisis, rising interest rates, FTX collapse and digital assets

Form CRS surfaced undisclosed production credit fees for Merrill Lynch wrap fee program clients

The SEC proposes a new rule and form and amendments to existing recordkeeping rules to require broker-dealers, clearing agencies, major security-based swap participants, the Municipal ...

Seven-month delay in reviewing OBA request and subsequent lack of communication on disapproval decision costs B-D $180K