Initial Public Offerings and New Issues
Trust and transparency are the cornerstones of the financial industry. [...]
17
10, 2023
4
10, 2023
Excessive Trading
It is not an uncommon practice for a client to [...]
15
09, 2023
Safeguarding From Fraudulent Activity
Safeguarding From Fraudulent Activity At any given time, natural disasters [...]
8
09, 2023
The Ultimate Solution for Compliance Management
It has been an exciting year for Securities Compliance Management [...]
1
09, 2023
Broker Dealers and Business Continuity
Is your broker dealer ready for disaster? Across the United [...]
16
08, 2023
FINRA Encryption Best Practices
Twenty years ago, when all of us worked in the [...]
27
06, 2023
Form CRS Observations
Broker dealers, specifically the Chief Compliance Officer (“CCO”), are required [...]
23
06, 2023
Exam Observations for New Firms
In March 2023, the Securities and Exchange Commission (“SEC”) released [...]
20
06, 2023
FINRA Rule 3110 Amendment Proposals
The Financial Industry Regulatory Authority (“FINRA”) Rule 3110 gives explicit [...]
13
06, 2023
Anti-Money Laundering Compliance
Anti-Money Laundering Compliance