A new FOCUS reporting requirement designed to enhance FINRA's ongoing monitoring of members' financial condition will take effect for the new year. Beginning January 2015, broker-dealers will be required to include with their FOCUS filings a Supplemental Inventory Schedule ("SIS") that provides more...
The U.S. Securities and Exchange Commission obtained a preliminary injunction in federal court freezing the assets of and granting additional emergency relief against Legend Venture Partners LLC, a New York City-based unregistered broker-dealer, in connection with a fraudulent scheme to sell interests...
SFI Markets B.V. is an International broker-dealer based in Amsterdam since 2013. Primary, Secondary & Money Markets.
SFI Markets B.V. is an International broker-dealer based in Amsterdam since 2013. Primary, Secondary & Money Markets.
doi:10.1108/15285810810922242Margaret R. BlakeJournal of Investment ComplianceBlake MR (2008) "SEC staff highlights areas of focus in broker-dealer investment advisor and investment company exams." J of Invest Compliance 9:33-38.
However, in the past year or so, and as an aftermath of the SEC’s adoption of its so-called “Broker-Dealer Reports” release in 201313, FINRA has come to the view that because a Non-Covered Firm that engages in Non-Covered Firm Activities is not required to mai...
Increased SEC Focus on Broker-Dealer Registration Issues for Private Fund ManagersWhitakerG. Warren
Market FINOP and compliance services to new and existing NASD broker-dealers. Series 27 licensed FINOP and CPA to assist firms with financial reporting, Focus reports, accounting and other regulatory matters.
Powerful and proven highly stable infrastructure allows focus on growth and not constant technology fire drills. 100% uptime for 3+ Years. Investment Advisors Building on the Broker Dealer front, middle, and back office solutions the software allows Portfolios, Robo Portfolios, fractional and residual...
A Broker-Dealer Law BlogBroker Dealings: A Broker-Dealer Law BlogSM is a blog published by Seward & Kissel LLP that reviews regulatory and legal events of interest to attorneys, compliance officers, executives and other participants in the broker dealer industry. ...