Broker-Dealers

Comments will be accepted through March 31, 2023

Enforcement action against Hunnicutt & Co. illustrates the price for falling short of meeting the independent AML testing requirement

Of the two dozen focus areas identified in new FINRA report, AML garners the most ink from the SRO

The SEC proposes to update the disclosure required for order executions in national market system stocks

The communications preservation obligation spans the likes of e-mails, instant messages, text messages, chat messages, and interactive blogs

OFG Financial Services only reviewed 0.26% of the e-mails its reps sent or received over a four-year period

If you think cybersecurity is tough now, don’t worry. It’s going to get worse.

Report addresses a materially broader range of topics than in prior years with two dozen focus areas flagged

FINRA offers up a "Top 5" list of tools and resources the SRO believes would most benefit B-D compliance professionals

The proposed rule would prohibit a restricted competition trading center from internally executing certain orders of individual investors at a price unless the orders are ...