admin, Author at Master Compliance

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So far admin has created 438 blog entries.

16 04, 2018

FINRA Updates Anti-Money Laundering Template for Small Firms

By admin|2018-04-16T18:22:17-04:00April 16, 2018|Anti-Money Laundering, Broker-Dealer, FINRA|

Per the Bank Secrecy Act (BSA) and FINRA Rule 3310, [...]

6 04, 2018

Last spring, FINRA began a review of its rules regarding [...]

5 02, 2018

By admin|2018-02-05T15:30:47-05:00February 5, 2018|FINRA, Rules and Regulations|

Recently, the Financial Industry Regulatory Authority (“FINRA”) released its 2018 [...]

19 01, 2018

By admin|2018-01-19T16:35:53-05:00January 19, 2018|Compliance Calendar, FINRA|

Good news!!! FINRA’S 2018 February Compliance Calendar has been posted [...]

17 01, 2018

By admin|2018-01-17T15:21:15-05:00January 17, 2018|Broker-Dealer, Broker-Dealer Ownership|

In order to start a new broker-dealer, you must submit [...]

10 01, 2018

By admin|2018-01-10T17:43:23-05:00January 10, 2018|Broker-Dealer, Broker-Dealer Ownership|

Are you looking to start a broker-dealer or buy a [...]

4 01, 2018

By admin|2018-01-04T09:28:48-05:00January 4, 2018|Rules and Regulations, SEC|

Custody remains a focus area for SEC and state regulators [...]

3 01, 2018

By admin|2018-01-03T17:41:44-05:00January 3, 2018|FINRA, Registrations|

The Form U5 is the Uniform Termination Notice for Securities [...]

27 12, 2017

By admin|2017-12-27T17:41:25-05:00December 27, 2017|Compliance Calendar, FINRA|

IT’S ALMOST 2018!!!! As we approach the New Year, firms [...]

27 12, 2017

By admin|2017-12-27T17:19:37-05:00December 27, 2017|FINRA, Rules and Regulations|

Recently, the Financial Industry Regulatory Authority (“FINRA”) released a report [...]