Broker-Dealers

"Today’s rule amendments would facilitate the SEC’s ability to examine and inspect records consistent with modern technology. These recordkeeping requirements also may reduce some firms’ ...

"To catch up with rapid technological change, the Commission is modernizing its recordkeeping rules"

Typically, the SRO brings roughly 400 to 550 enforcement actions against individual brokers in a given year

The guidelines were revised in seven respects and detail what are considered the "most serious violations"

Case calls out need to lock down the supervision of employee' business-related text messages, including those involving senior management

Firms recommended to proactively think about the intersection between business and technologies

A federal judge ordered him to serve one year and one day in prison. The former broker could have faced up to 20 years

The novel SEC enforcement action charges broker-dealer with violating the municipal advisor registration rule

Eighty-five percent of firms were victim of at least one fraud last year

Financial Services' Republicans see 'a backdoor accredited investor standard'