2020 was a difficult year for broker-dealers as they found themselves not only juggling their regular day-to-day obligations, the implementation of Form CRS and Regulation Best Interest policies and procedures,…

In 2019, broker-dealers did not have to contend with many significant new rules or amendments, but there was still plenty of regulatory activity.  Here is a high-level summary of notable…

Photo by rawpixel on Unsplash   We’ve put together a list of rules, enforcement actions and regulatory developments for broker-dealers for 2018.  We recommend that broker-dealers use this review as a resource when…