Home Broker-Dealers
Broker-Dealers
The SEC found that confidentiality agreements contained provisions that impeded clients from reporting potential securities violations to the Commission
FINRA charged the firm failed to establish WSPs reasonably designed to comply with the SRO's fingerprinting requirements
SRO's new type of exam review focuses on a business area or a product in which FINRA sees heightened risk
FINRA's Financial Intelligence Unit delivers threat intelligence products to communicate threat guidance to the industry
A market maker in OTC securities was charged with failing over a two-and-a-half-year period to provide best execution with respect to 1,674 orders
The SRO is squarely focused on the regulatory challenges presented by firms' crypto asset activities and evolving its oversight
Steps were not taken to confirm that reps understood the features and risks unique to NT-ETPs before recommending them
The Commission's economic analysis of the Regulation Best Execution proposal is "fundamentally flawed," in former Chief Economist's opinion
SRO reminds about policy prohibiting firms and associated persons from making audio or video recordings of conversations with staff
Association expresses concerns that proposed rules could have a chilling effect on broader short selling activity across the industry