Blog
Continuing Education at Testing Centers
FINRA has established a Web-based delivery method for completing the Regulatory Element of the Continuing Education (CE) requirements. The test-center delivery method will be phased out by July 1, 2016. […]
Capital Acquisition Brokers
We have updated this post! We are leaving this post up as to not disturb any saved links; however, please visit our more recent post, Registering as a Capital Acquisition Broker (CAB), for current information on the topic. […]
Department of Labor Fiduciary Rule
A recently approved rule from the Department of Labor (“DOL”) is a complex regulation that would apply to financial professionals who provide financial advice to participants or sponsors of retirement savings plans, including 401(k) plans, IRAs and rollovers. The new rule, commonly referred to as the Fiduciary Rule, changes the [...]
Anti-Money Laundering Compliance: The Basics
We have updated this post! We are leaving this post up as to not disturb any saved links; however, please visit our more recent post, FINRA Rule 3310: Anti-Money Laundering Compliance Program, for current information on the topic. […]
Cybersecurity for Broker-Dealers
As technology continues to advance and broker-dealers become increasingly more dependent on it, the topic of cybersecurity has been pushed to the forefront in the financial industry. The nature of the industry requires broker-dealers to maintain records of client sensitive information including, but not limited to the following: account numbers, [...]
BrokerCheck Link Requirements
The SEC recently approved amendments to FINRA Rule 2210 (Communications with the Public) which require broker-dealers to include a readily apparent reference and hyperlink to FINRA BrokerCheck on the initial web page viewed by retail investors, and any other web page that includes a professional profile of one or more [...]