$IAI News
Last published 3y ago
- 3y agoIAISEC Proposes Rule Amendments to the Broker-Dealer Customer Protection RuleSEC Press ReleasesThe Securities and Exchange Commission today proposed amendments to Rule 15c3-3 (the Customer Protection Rule) to require certain broker-dealers to increase the frequency with which they perform computations of the net cash they owe to customers and…
- 3y agoIAISEC Proposes Regulation Best ExecutionSEC Press ReleasesThe Securities and Exchange Commission today proposed Regulation Best Execution, which would establish through Commission rules a best execution regulatory framework for brokers, dealers, government securities brokers, government securities dealers, and…
- 4y agoIAISEC Charges Wells Fargo Advisors With Anti-Money Laundering Related ViolationsSEC Press ReleasesThe Securities and Exchange Commission today announced charges against Wells Fargo Advisors for failing to file at least 34 Suspicious Activity Reports (SARs) in a timely manner between April 2017 and October 2021. Wells Fargo Advisors, the St. Louis-…
- 5y agoIAISEC Requests Information and Comment on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of TechnologySEC Press ReleasesThe Securities and Exchange Commission today announced that it is requesting information and public comment on matters related to the use of digital engagement practices by broker-dealers and investment advisers. These tools include behavioral prompts,…
- 5y agoIAISEC Charges Broker-Dealer for Failures Related to Filing Suspicious Activity ReportsSEC Press ReleasesThe Securities and Exchange Commission today announced settled charges against GWFS Equities Inc. (GWFS), a Colorado-based registered broker-dealer and affiliate of Great-West Life & Annuity Insurance Company, for violating the federal securities…