The SEC's Rule 10c-1a now mandates the reporting of securities loans, marking a significant regulatory shift.
Potential challenges in implementing SLATE, including the need for possible adjustments to data dissemination...more
Earlier this year, FINRA filed with the SEC a proposed series of rules requiring, for the first time, the reporting of securities loans and providing for the public dissemination of loan information through FINRA's Securities...more
FINRA recently published its 90-page 2024 Annual Regulatory Oversight Report (Report) providing member firms with insight into six primary topics: Financial Crimes, Crypto Asset Development, Firm Operations, Communications...more
1/17/2024
/ Anti-Money Laundering ,
Bank Secrecy Act ,
Books & Records ,
Consolidated Audit Trail ,
Crowdfunding ,
Cryptoassets ,
Cybersecurity ,
Disclosure Requirements ,
Economic Sanctions ,
Financial Crimes ,
Financial Industry Regulatory Authority (FINRA) ,
Form CRS ,
Fraud ,
Liquidity ,
MSRB ,
Net Capital Rule ,
Policies and Procedures ,
Regulation BI ,
Regulatory Oversight ,
Reporting Requirements ,
Risk Management ,
Variable Annuities