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FINRA details questions firms can use to evaluate their cyber program given increased ransomware threat
FINRA alert flags questions broker-dealers may wish to consider when evaluating their cybersecurity incident response plans
FINRA "strongly encourages" firms and their customers to "give serious consideration to the importance of naming a trusted contact
This is the part of the SEC's proposed new Regulation Best Execution that calls for an annual review
This is a proposed rule under the SEC's Regulation Best Interest that focuses on P&Ps and other obligations
The SEC approved four separate, but interrelated, proposals that affect equity market structure
Compliance lapse led Barclays Capital to overstate its advertised trading volume in thousands of instances and by 147 million shares
"I think investors should have easy access to information that details just how good of a job their brokers are doing. Thus, today’s proposal would ...
"If adopted, it would help ensure that brokers have policies and procedures in place to uphold one of their most important obligations: to seek best ...
Amendments are aimed at more timelier reporting and the enhancement of the regulatory audit trails for U.S. Treasury securities