On August 12, the SEC issued published a settled enforcement action order against a broker-dealer for failing to monitor, investigate, and file Suspicious Activity Reports (SARs) between March 2020 ...
Financial advisors affiliated with a broker-dealer are far more likely than other advisors to say they will definitely leave their firm this year. That was among the findings in this month's Financial ...
The Staff of the Division of Trading and Markets of the US Securities and Exchange Commission issued on May 15, 2025 responses to Frequently Asked Questions Relating to Crypto Asset Activities and ...
An annual PCAOB report details an increase in the percentage of broker-dealer financial reports with audit deficiencies and offers perspective on the nature of the deficiencies and advice for avoiding ...
The Financial Industry Regulatory Authority is probing broker-dealer firms involved in taking small foreign companies public, ...
VVV Research and Development Inc. conducted a national survey on behalf of broker-dealer Cambridge Investment Research Inc. In the survey, 648 representatives were surveyed about their experience with ...
The Public Company Accounting Oversight Board released a new staff publication aimed at auditors of broker-dealers who are performing review engagements involving exemption reports. The publication, ...
The PCAOB issued its annual report Thursday on its audits of brokers and dealers and is seeing at least one deficiency in 70% of the 103 audit engagements it reviewed in 2023. "Overall, in 2023 we ...
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