Regulation
SEC Finalizes Liquidity Dealer Rule
The rule would require unregistered liquidity providers to register as dealers with the SEC.
Tag: FINRA
Regulation
SEC Accredited Investor Report Emphasizes Lack of Sophistication, Retirement Assets
The study of the accredited investor definition highlighted the lack of emphasis on sophistication and the growing number of qualified households.
Regulation
FINRA Proposes Allowing Projected Performance in Marketing to Institutional Investors
The regulating body breaks with its previous skepticism of projected performance, but only for qualified purchasers and institutional investors.
Regulation
FINRA, SEC Detail Enforcement Priorities in Reg BI, BE Exams
Officials from the two regulatory groups outlined common missteps discovered while enforcing regulations covering conflicts of interest and trade execution.
Regulation
SEC Chairman Stresses Importance of Regs BI, BE at FINRA Conference
Gensler also defended the SEC’s market structure proposals and discussed the future of artificial intelligence in the financial industry.
Regulation
FINRA Fines Credit Suisse $9 Million for Violating Customer Protection Rule
The regulator accused the firm of failing to maintain control of billions of dollars of margin securities.
Asset Management Culture
Former Bridgewater Co-Chief Eileen Murray Appointed to FINRA, HSBC Positions
One of the most notable female leaders in finance has accepted two new leadership positions after her exit from Bridgewater.
Former Adviser Gets Nearly 6 Years in Prison for Fraud
Gary Basralian admitted to stealing at least $2 million from his clients.