Purpose: To explain two new Financial Industry Regulatory Authority (FINRA) rule provisions, effective February 5, 2018, that were designed to provide firms with more effective tools to address suspected financial exploitation of seniors and other vulnerable adults, a new Rule 2165, Financial...

Purpose To describe the steps taken by the SEC to shorten the standard settlement cycle for most broker-dealer transactions from three business days to two business days after the trade date. Design/methodology/approach Provides insight into a recent area of focus for SEC regulators and describe...