Model rules allow brokers to use continuing education to maintain status
BofA sanctioned for millions of reporting lapses over 10 years
A temporary pandemic innovation is being made permanent
SEC proposal to narrow FINRA exemption should benefit brokers
Firms are increasingly reporting digital signature falsification
The SRO proposed cutting the trade reporting deadline from 15 minutes to 60 seconds
Proposal would narrow exemption from FINRA for prop trading firms
SRO brings first cases to allege investment banking exam takers cheated on remote tests
The U.S. SRO aims to detect misconduct in under-the-radar market
Firm's systems failed to spot clients who were eligible for cheaper fund series
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