Trading

SEC settlement highlighted compliance review failures, the CCO's communications with a rep, and the ultimate resolution

"The Commission and self-regulatory organizations depend on the CAT to carry out our respective surveillance and enforcement responsibilities"



New York-based broker-dealer permitted foreign individuals to conduct a securities business using its systems when they weren't registered with FINRA

FINRA lists 20 questions that it seeks responses to concerning day trading account approval and risk disclosure requirements

The onset of the COVID-19 pandemic resulted in highly stressed market conditions for commercial paper, debt securities issued by banks, and asset-backed securities, particularly for ...

SEC chairman covered developments in equity market structure, central clearing, short selling, and digital engagement practices

"We’ve also seen brokerages and investment advisers use sophisticated analytic tools to interact with investors .... Broker-dealers and investment advisers, regardless of whether they are ...

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’s settlement suggests one compliance action you could consider