Tag: brokers

Regulation Best Interest, born of a long debate over the appropriate standard to govern recommendations by broker-dealers, is now the subject of an OCIE Risk Alert. The staff is preparing to launch its first inspection for compliance with Regulation Best …

The First OCIE Inspection of Brokers Re Reg Best Interest Read More »

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Controls and records are often critical to the functioning of a company. Broker-dealers, as regulated entities, are required to maintain certain systems and records to aid in fulfilling their obligations. One requirement is to effectively respond to a Commission request …

Broker Admits Violations of Securities Laws to Settle with SEC Read More »

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