On January 13, the SEC published to the Federal Register a final amendments to Rule 15c3-3 – the Broker-Dealer Customer Protection Rule – to ...

The Securities and Exchange Commission has announced multi-million dollar penalties for investment advisors and broker ...

On January 13, a broker-dealer agreed to pay over $40 million to settle SEC charges that it failed to properly supervise its employees in the sale ...

The Securities and Exchange Commission today announced that broker-dealers Robinhood Securities LLC and Robinhood Financial ...

The proposal to enhance transparency and guardrails for new technologies within broker-dealers is likely to be scrapped.

Robinhood, a disruptive force in the market for Main Street investors but also a serial offender of securities laws, will pay a total of $45 million to settle numerous violations of SEC rules and ...

Registered securities firm Prometheum intends to take ... first and only company to set up formally as a special-purpose broker-dealer for crypto assets. It's registered as a custodian and to ...

A broker-dealer subsidiary of Toronto-based BMO Financial Group will pay nearly $41 million in penalties to the Securities and Exchange Commission to settle allegations that its traders issued ...

LPL Financial, a La Jolla-based investment and wealth management services firm, will pay $18 million to settle charges by the Securities ... federal law requires broker-dealers like LPL to know ...