InvestmentNews

FINRA last year continued its decline in regulatory actions against broker-dealers

FINRA enforcement actions spiked in the years after the 2008 credit crisis but have fallen steadily over the past decade.
Crowdfund Insider

Fidelity Investments Asks SEC to Update Broker-Dealer Guidelines for Digital Assets

Fidelity Investments has formally called on the U.S. Securities and Exchange Commission (SEC) to refine longstanding ...

EquiDeFi Publishes Frequently Asked Questions (FAQs) For Users of its Compliance-Focused Private Offering Platform

Version 2.0 enhances EquiDeFi's cloud-based platform with streamlined investor onboarding, compliance automation, and scalable infrastructure for managing large private securities offerings. FORT ...

Fidelity urges SEC to move further on crypto activity by broker-dealers

Fidelity Investments told the US Securities and Exchange Commission (SEC) on Friday that it should continue to develop the ...
The Currency Analytics

SEC Targets Broker-Dealers with New Rule Changes

The SEC dropped major changes to Rule 15c2-11 on March 16. These amendments hit broker-dealers who publish quotes for ...
The National Law Review

SEC Targets Broker-Dealers for Reg BI Violations

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...
Financial Advisor

Should Brokers Be Able To Call Themselves Advisors? NASAA Says No

The North American Securities Administrators Association (NASAA) has approved amendments to the group’s model conduct rules built around the SEC's Regulation Best Interest, according to NASAA ...