Broker-Dealers

Last summer, the SEC released a risk alert designed to help investment advisers prepare for their next DOE exam. Now, the Commission returns the favor ...

This DOE risk alert provides insights into how the SEC selects B-Ds to examine, and topics to query

Another component will look at whether the Division of Investment Management takes 'actions to ensure staff with sufficient and appropriate skills, experience, and expertise are ...

Reps identified as "high risk" represent about a fraction of one percent of the entire population

FINRA's new residential supervision and remote inspections pilot program rules do not require firms to bring their workforce back to the office full time

This is the SEC's rule shortening the trading cycle to T+1

"As the compliance date of May 28, 2024, approaches, the Commission will continue its efforts to help facilitate a successful transition"

FINRA charged TD Ameritrade with not exercising "reasonable due diligence" before approving certain customers to trade options

FINRA exam sweep status update featured questions brokerage firms should consider asking when approving options trading

Priorities include protecting investors and markets, enhancing transparency, reducing the time to complete cases, and improving internal collaboration