Broker-Dealers

The SRO is on track to deliver its 2022 examination and risk monitoring report in early January

Comments should be received on or before January 3, 2022

The Commission has proposed amendments to the electronic recordkeeping and prompt production of records requirements applicable to B-Ds, SBSDs and MSBSPs

Aim is to train registered persons more effectively and reduce unnecessary impediments to requalification

"Broker-dealers cannot use static records for their own operational and compliance purposes, so many firms have two systems.  Requiring broker-dealers to maintain a wholly separate, ...

"This proposal updates an electronic recordkeeping rule adopted in 1997. A lot has changed with respect to database management, among other technologies, in the last ...

This two-page questionnaire can be used by staff to alert you to their outside business activity

Lee suggests firms bring an "enhanced focus" to recommendations and mitigate conflicts of interest

The SEC weighed the impact of the proposed amendments on efficiency, competition and capital formation

The ancient Chinese supposedly had a curse: May you live in interesting times. If they ever get a chance to reflect on the past two ...