SEA 1934 Rule 15(c) – Global Relay Intelligence & Practice

SEA 1934 Rule 15(c)

SEC

SEC adopts groundbreaking broker-dealer rule in US Treasury Market

February 7, 2024

New rules require firms that routinely deal in US government bonds to register as broker-dealers and face stricter oversight.

Julie DiMauro3 min read
Enforcement

FINRA disciplinary action update #12

May 15, 2023

Disciplinary decisions issued May 5 – May 11, 2023.

Thomas Hyrkiel1 min read
Enforcement

FINRA disciplinary action update #1

February 28, 2023

Disciplinary decisions issued 17 – 23 February, 2023.

Thomas Hyrkiel<1 min read
Enforcement

FINRA member Nomura fined for books and records failings

January 18, 2023

The investment banking and brokerage services firm overstated its daily net capital by misclassifying 5,657 reverse repos.

Martina Lindberg2 min read