Financial Exploitation of Seniors
FINRA has announced new rules relating to the financial exploitation [...]
9
11, 2017
3
11, 2017
The Differences between a Broker, Dealer, and Broker-Dealer
In the securities industry, there are many key players. I’m [...]
1
11, 2017
Investment Advisory Programs – Safe Harbor Rule 3a-4
One of the key differences between an investment company and [...]
24
10, 2017
FINRA’S COMPLIANCE CALENDAR- NOVEMBER 2017
As November approaches, let’s take a look at the upcoming [...]
20
10, 2017
Customer Complaints in the Social Media Era – FINRA Rule 4530
As technology continues to advance, the Financial Industry Regulatory Authority [...]
13
10, 2017
What is the SIE Exam?
As mentioned in our previous post, What is on the [...]
12
10, 2017
FINRA Rule 3120: Supervisory Control System
Supervisory System A firm’s supervisory system serves as its foundation [...]
9
10, 2017
Safe Harbor Rules Relating to Soft Dollars
What are Soft Dollars? In asset management and the securities [...]
6
10, 2017
Large Trader – Rule 13h-1 (Part 2)
For Part 1, please see Large Trader-Rule 13h-1 (Part 1). Part [...]
6
10, 2017
The Importance of a Chinese Wall in Multi-Service Securities Firms
Multi-service securities firms have a high risk of insider trading [...]