Broker-Dealers

Initiative seen as improving transparency and enhancing the regulatory audit trail in the securities lending market

The proposed amendments retain the contours of rule 3240, strengthen its general prohibitions and modernize the "immediate family" exception

SRO has confirmed the value and effectiveness of rule 4730 and will maintain the BCP rule without change

J.P. Morgan Securities employees often communicated about securities business on their personal devices and those records were not preserved

The SEC charged Wedbush with the unlawful distribution of nearly 100 million shares of more than 50 low-priced microcap companies

IAs, B-Ds and private funds all reluctant stars in FSOC report

JPMorgan did not promptly produce business communications sent or received using unapproved communications methods to the staff in the course of Commission investigations. As a ...

A peer shares an Excel file the adviser uses to "score" its broker-dealers as part of its best execution review

FINRA has wrapped its years long target examination of Unit Investment Trusts' early rollovers

The proposed shift addresses the current impact of Exchange Act rule 15c3-1 (net capital rule) on settlement timing, particularly on smaller firms