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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
SEC examiners plan to continue to conduct examinations and engage in outreach with firms to assess their T+1 preparedness
One of the seven FAQs addresses IA recordkeeping requirements tied to T+1 transition
Public privy to the dissemination of U.S. Treasury transactions on a trade-by-trade basis
Among other things, EXAMS may review whether and how Registrants have evaluated the potential impact of the final rules on their: (i) business activities; (ii) ...
SEC Chairman welcomes the coming change to the "market plumbing" of clearance and settlement
"While many Americans will be celebrating the unofficial start of summer over Memorial Day weekend, another important thing will be happening. We will transition in ...
Two employees involved with large blocks trades disclosed to certain buy-side investors non-public, potentially market-moving information, concerning impending "block trades, violating the selling shareholders’ expectations ...
Effective Nov. 30 FINRA is discontinuing the collection of data under rule 4540 used in the Integrated National Surveillance and Information Technology Enhancements program