Broker-Dealers

"A concentrated group of wholesalers earns significant revenues from this market. They’re willing to pay for this order flow, but as the release notes, investors ...

"The current tick size and access fees were both adopted as part of Regulation National Market System in 2005, known as Regulation NMS.  Updates to ...

This SEC proposal would adopt variable minimum pricing increments for the quoting and trading of NMS stocks, reduce the access fee caps, and enhance the ...

Update offers questions for firms to consider when evaluating their supervisory systems and risks related to options accounts approvals and monitoring

FINRA is seeking a list identifying each crypto-related communication provided and firms WSPs

Small-cap IPOs are increasingly being affected by the "ramp-and-dump" schemes

New guidance covers the perceived benefits, common types of succession plans, an overview of related rules and questions to consider

Positions resulting from stock loan activity are not considered reportable under rule 4560 as short interest by the SRO

Issues with how broker-dealers' identified venues, classified orders, and calculated net rebates flagged by the SEC

FINRA changes to the regulatory element and the firm element come with a Jan. 1 effective date