Broker-Dealers

IT professionals across the financial services industry are taxed to the max

Broker-dealers and even investment advisers who are worried about complying with European research rules that conflict with American law shouldn’t wait to get their affairs ...

BMA Securities violated the rule on hundreds of occasions by failing to close out allocated fail to deliver positions

Sweep is the first announced by the SRO in 2020

For the fourth straight year, AML tops the list

Eight new FAQs cover six core areas

Adjusting or building upon current systems of supervision/compliance an option

Look for the regulations to be enforced after Sept. 1