SEA 1934 Rule 15(c)
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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 disciplinary action update #25
Disciplinary decisions issued August 4 – August 10, 2023.
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FINRA disciplinary action update #12
Disciplinary decisions issued May 5 – May 11, 2023.
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FINRA disciplinary action update #11
Disciplinary decisions issued April 28 – May 4, 2023.
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FINRA disciplinary action update #8
Disciplinary decisions issued April 7 – April 13, 2023.
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FINRA disciplinary action update #3
Disciplinary decisions issued March 3 – 9, 2023.
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FINRA disciplinary action update #1
Disciplinary decisions issued 17 – 23 February, 2023.
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FINRA member Nomura fined for books and records failings
The investment banking and brokerage services firm overstated its daily net capital by misclassifying 5,657 reverse repos.