The Commission is providing guidance regarding the application of certain uses of the terms ‘‘arranged’’ and ‘‘negotiated’’
A Brick, N.J. broker-dealer will still have to sit out its suspension for failing to file audited reports with regulators but will be $3,000 richer ...
The exam overhaul has officially launched
Some firms have concluded wires are more trouble than they are worth
Reg BI arrives June 30: “The court knows what the timeline is. It’s up to the court”
Driscoll: The risk alert will be designed to “help firms prepare for potential exams”
Questions that could be asked on exams included
Digital assets to be scrutinized
Regulators were emphatic: there will be no delay in Reg BI
SEC “staff reminds broker-dealers that the term ‘investment strategy’ ... is to be interpreted broadly”