Dealer group seeks Form ADV revamp
The Bond Dealers of America (BDA) wants a key regulatory filing to play a more effective role as matchmaker between broker-dealers...
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Regulatory & compliance archive
Attorney: Boards have clearer choices on probe cooperation
Ronald Zdrojeski A new prosecutorial policy and a court ruling have made clearer to companies and their boards the value of...
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NeuStar alleged to have violated whistleblower protection rule
Marketing technology company NeuStar has agreed to pay a $180,000 fine after the SEC accused it of having agreements with...
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SEC expands CIP relief for brokers
Broker-dealers have secured a pre-Christmas compliance boost: more time during which they will be able to use investment advisers...
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SEC faces more senior staff departures
The SEC has announced a series of senior staff departures, with top enforcement, corporate and risk analysis officials heading for...
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Credit Suisse unit fined $16.5 million over AML program
Credit Suisse Securities (USA) (CSSU) has been fined $16.5 million and will have to undertake a compliance review to settle...
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Citi unit settles compliance systems case
Citigroup Global Markets has agreed to pay an $850,000 fine to settle allegations its compliance systems and procedures were...
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Limit environmental fine disclosures, lawyers say
Law firm Shearman & Sterling has backed regulators’ efforts to simplify corporate disclosure rules – and has called for companies...
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Protecting seniors: Mixed reviews for Finra’s rule changes
Mutual fund and insurance industry groups have welcomed but pressed for changes to the latest regulatory initiative aimed at...
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SEC sees flurry of staff changes
The SEC has announced a series of changes among the ranks of its senior officials, including a new chief accountant and the...
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