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Latest News
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Federal judge strikes down SEC’s dealer rule amendments
The SEC’s broader definition faced backlash soon after it was issued from some industry leaders, lawmakers, and investors, plus SEC Commissioners Hester Peirce and Mark Uyeda.
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OTC Link LLC to pay $1.19m for failing to file suspicious activity reports
Case brought over failure to file any SARs for over three years.
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EU considers T+1 settlement cycle to align with US and other countries
Speech by Verena Ross on the EU transitioning to a faster securities settlement cycle.
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Venue and data completeness in the spotlight at GR Bank and broker roundtable
Also discussed in this informative and collegial session was communication surveillance and the focus of recent supervisory visits.
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European market participants brace for impact of US move to T+1 settlement cycle
The transition to faster securities settlement in the US will have a significant impact on UK and EU firms with holdings in North and Central America.
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SIFMA 2024: Panelists tackle SEC proposal on predictive analytic tools
Sharp differences emerged during discussion on neutralizing conflicts of interest created by algorithms.
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SEC adopts groundbreaking broker-dealer rule in US Treasury Market
New rules require firms that routinely deal in US government bonds to register as broker-dealers and face stricter oversight.
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FINRA fines Landolt Securities for deficient supervision of electronic communications
Broker-dealer’s policies and procedures for monitoring representative’s comms were unclear and inadequate.