What is Form U4 and What Sections are on it?
Form U4 is the Uniform Application for Securities Industry Registration [...]
21
12, 2017
15
12, 2017
FINRA Rule 2210 and Social Networking Websites
FINRA Rule 2210 requires that firms retain records of communications [...]
13
12, 2017
The DOL’s Fiduciary Rule Transition Period Extended 18 Months
As you may recall, the Fiduciary Rule’s BIC Exemption and [...]
10
12, 2017
Regulation D Exemptions
Regulation D, established by the Securities and Exchange Commission, provides [...]
8
12, 2017
Change to Definition of Qualified Client
The Securities and Exchange Commission (“SEC”) recently announced an upcoming [...]
8
12, 2017
FINRA Rule 2273-Recruitment Practices
FINRA has long been concerned with practices used by broker-dealers [...]
29
11, 2017
New Anti-Money Laundering Program Requirements
Recently, the Financial Crimes Enforcement Network (“FinCEN”) adopted a final [...]
21
11, 2017
The SEC’s Priorities in 2018
Recently, the Securities and Exchange Commission’s Enforcement Division released their [...]
20
11, 2017
FINRA’S COMPLIANCE CALENDAR – DECEMBER 2017
As we are approaching December 2017, you should review FINRA’s [...]
10
11, 2017
Pay-to-Play: Capital Acquisition Brokers
Earlier this year, FINRA began accepting applications for firms wishing [...]