Questions for any Third Party FINOP Service Provider
Per the National Association of Securities Dealers (“NASD”) Rule 1022, [...]
4
06, 2024
28
05, 2024
Audit Preparations for FINOPs
For a broker dealer, there’s a single word that is [...]
21
05, 2024
Ethical Considerations for FINOP’s
Ethical Considerations for FINOP’s In the financial services industry, the [...]
14
05, 2024
FINOP Training and Professional Development
FINOP Training and Professional Development Financial and Operations Principals (“FINOPS”) [...]
7
05, 2024
Compliance Challenges for FINOPs
In today’s ever-evolving broker dealer environment, a Financial and Operations [...]
7
12, 2023
Regulation BI and Real-World Enforcement
When the Financial Industry Regulatory Authority (“FINRA”) initially proposed the [...]
30
11, 2023
Data Storage and Cybersecurity Best Practices
Broker Dealers and Registered Investment Advisors (“RIAs”) live in a [...]
17
11, 2023
Rule 4111 Restricted Broker-dealer Obligations and Heightened Supervision
While the subject matters of FINRA Rule 4111 and heightened [...]
2
11, 2023
FINRA Rule 2111 – Suitability in Broker Dealer Relationships
Being a broker dealer in today’s environment is a complicated [...]
25
10, 2023
Broker Dealer Advertising
Has your broker dealer investigated using advertising materials in order [...]