Article
19 Feb 2026
FINRA Proposes To Amend Its OBA And PST Rules As Part Of A Rule Modernization Initiative
AUTHORS CONTENT
Article
18 Mar 2025
Keeping Up With The Regulators: How To Build An Effective Compliance Programme To Satisfy The Best Interest Care Obligation
Article
20 Feb 2025
FINRA's 2025 Annual Regulatory Oversight Report: Focus On AI, Other Emerging Risk Areas, And Best Practices
Article
29 Jan 2025
SEC Approves FINRA Rules To Establish Securities Lending Reporting Facility
Article
09 Jan 2025
SEC Amends The Customer Protection Rule To Require Daily Reserve Formula Computations For Large Clearing/Carrying Broker-Dealers
Article
18 Dec 2024
US District Court Vacates Controversial Dealer Rules
Article
01 Nov 2024
The SEC Division Of Examinations' Fiscal Year 2025 Priorities: A Possible Window Into The Future For Broker-Dealers
Article
25 Sep 2024
SEC Adopts New Regulation NMS Rules On Tick Sizes, Access Fees, And Market Data
Article
13 Jun 2024
SEC Modernizes Data Protection Rules For Safeguarding Customer Information
Article
23 Jan 2024
FINRA's 2024 Annual Regulatory Oversight Report: What Broker-Dealers Need To Know
Article
22 Aug 2023
Broker-Dealers And Advisers Beware: The SEC's "PDA" Proposal Could Upend Firms' Interactions With Customers, Clients And Investors
Article
27 Feb 2023
The SEC Proposes Regulation Best Execution
Article
21 Dec 2022
SEC Holiday Reading List: Four Rule Proposals That Would Overhaul Market Structure And How Retail Orders Are Executed
Article
10 Aug 2022
SEC Brings First Identity Theft Enforcement Actions Since 2018
Article
07 Apr 2022
SEC Proposes New Rules Defining "Dealer" Status: Proposal Seeks To Clarify When Unregistered Firms Engaged In Market-Making And Liquidity-Providing Activities May Need To Register As Dealers
Article
02 Jun 2020
Navigating The "Good Faith Effort" Standard For Reg BI And Form CRS Implementation
Article
01 Apr 2020
COVID-19: Key Issues For Broker-Dealers
Article
04 Sep 2019
The Countdown Is On! Building A Reg BI Compliance Program As Deadlines Loom
Article
18 Jun 2019
SEC's Final Rules And Guidance On The Standards Of Conduct For Broker-Dealers And Investment Advisers
Article
14 Jun 2018
Financial Regulators Issue Proposed Rulemaking Revising Volcker Rule Restrictions And Compliance Requirements