Trading

TSI and TSA breached their fiduciary duty to take reasonable steps to protect their clients’ interests from recognized material vulnerabilities to certain Models, which were ...

FINRA charged firm with failing to detect customers with cash accounts who engaged in free-riding in options and issued options

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 ...