Broker-Dealers

The case offers lessons for brokerage firms involved with complex financial instruments

The firm's compliance officials also erred in not recommending that the adviser also become a registered B-D

Examiners looking to determine what kinds of controls firms had in place to ensure that data and information provided to publishers are accurate

This new SEC final rule amends NMS rules regarding minimum pricing increments for the quoting of certain NMS stocks. It also reduces the access fee ...

The SEC charged the spoofing scheme was orchestrated by the then-head of TD Securities Treasuries' trading desk

Vistia Capital did not timely amend its Form CRS to disclose that one of its financial professionals had disciplinary history as required

FINRA has observed an increase in cyberattacks and outages at third-party vendors used by brokerage firms

Prior to and after being approached by the Commission, Stifel enhanced its P&Ps, increased training on use of approved communications methods, and provided some personnel ...

State Farm failed to establish, maintain, and enforce written policies and procedures reasonably designed to achieve compliance with Regulation BI because it did not provide ...

The latest B-D case touches on customer identification, account opening, and deficient regulatory technology