Broker-Dealers

The proposal "would help ensure the SEC has oversight over PTFs [principal trading firms] and others engaged important liquidity-providing roles, such as market making"

"Today’s proposal seeks to bring some clarity to how this definition applies in markets where some of the key providers of liquidity are not registered ...

FINRA clarifies when a CCO is and is not subject to potential liability under its supervision rule

The proposal addresses concerns that some parties may not be able to participate meaningfully in arbitration due to illness or age

Global uncertainties trigger reminder to broker-dealers of the prudence of employing strong risk management practices

Proposed changes are a bid to fulfill Dodd-Frank mandate to make certain short sale data publicly available

FINRA's Cook "failed to answer key questions" about how arbitrators were chosen in a Wells Fargo case, say Warren and Porter

Amendments create the first uniform national standard for placing holds on securities transactions when financial exploitation suspected

The 14 new FAQs tackle questions on temporary holds, trusted contact provisions, disclosure issues, and more

Deutsche Bank Securities failed to seek best ex for its customers' orders tied to a dark pool it operated