Report aims to help dealers, particularly small firms, ensure they have adequate cybersecurity programs
Inadequate due diligence on products a “common contributor” to suitability failings
The regulator expects the new structure to increase compliance efficiency and effectiveness
Regulator launches SIE exam
Annamaria Lusardi honoured for research to advance investor protection and financial capability
Technology may make it easier for securities firms to strengthen their compliance programs
New technology will lead to enhanced efficiencies and reduced compliance costs for firms
Tim Scheve replaces John Thiel who left the board of the U.S. self-regulatory organization earlier this year
The U.S. self-regulatory organization is looking to improve arbitration payouts to clients
Uniform standards to protect U.S. investors take effect