Broker dealers are divided over whether small firms should be dealt more relaxed regulation and compliance standards, or be subject to uniform standards that treat large Wall Street banks and single ...
On October 23, FINRA announced that it is investigating broker-dealers that have helped small companies based in China and other foreign ...
Discover how inter-dealer brokers facilitate large financial transactions, improve market liquidity, and offer anonymity in OTC markets, benefiting financial institutions.
A new working group of state and federal regulators, along with brokerage firms, will look at unreasonable account transfer fees and other “service” charges broker-dealers levy on customers. The ...
Fund sponsors often engage investment banking or placement firms to help raise capital or generate deal flow for their funds. In exchange, the sponsor may offer a cash fee, a piece of the sponsor’s ...
The Public Company Accounting Oversight Board (PCAOB) has published a new staff document titled “Broker-Dealer Audit Focus: Review Engagements Regarding Exemption Reports”. The publication is part of ...
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 SEC’s amendments to Rule 605, which are the first major overhaul of publicly disclosed execution quality statistics in over 20 years, are wide-ranging and will create real challenges for ...
Broker-dealer groups support Securities and Exchange Commission approval of the Municipal Securities Rulemaking Board's multi ...
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