admin, Author at Master Compliance

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So far admin has created 438 blog entries.

23 03, 2017

Recent Enforcement Actions from FINRA

By admin|2017-03-23T13:53:35-04:00March 23, 2017|Fines, FINRA|

As summarized below, FINRA recently announced some recent enforcement actions [...]

8 03, 2017

By admin|2017-03-08T10:14:12-05:00March 8, 2017|MSRB, Rules and Regulations|

As summarized below, the Municipal Securities Rulemaking Board (MSRB) recently [...]

24 02, 2017

By admin|2017-02-24T11:50:37-05:00February 24, 2017|Broker-Dealer, FINRA, Rules and Regulations|

As summarized below, the SEC has recently approved amendments to [...]

22 02, 2017

By admin|2017-02-22T12:50:31-05:00February 22, 2017|FINRA, Rules and Regulations|

FINRA recently published a Regulatory Notice to announce that it [...]

10 02, 2017

By admin|2017-02-10T17:31:56-05:00February 10, 2017|FINRA, Registrations|

As a broker-dealer compliance company, we are often consulted about [...]

29 01, 2017

By admin|2017-01-29T16:23:26-05:00January 29, 2017|FINRA, Registrations|

FINRA Rule 4517 – Member Filing and Contact Information Requirements [...]

16 01, 2017

By admin|2017-01-16T17:42:50-05:00January 16, 2017|MSRB, Rules and Regulations|

The MSRB is requesting comment on draft amendments to MSRB [...]

9 01, 2017

By admin|2017-01-09T16:38:47-05:00January 9, 2017|Broker-Dealer, FINRA, Rules and Regulations|

In today’s ever morphing environment, business restructures are quite common. [...]

5 01, 2017

By admin|2017-01-05T17:34:04-05:00January 5, 2017|FINRA, Rules and Regulations|

FINRA has recently proposed certain amendments to Rule 4554 (Alternative [...]

28 12, 2016

By admin|2016-12-28T16:19:03-05:00December 28, 2016|Rules and Regulations, SEC|

Rule 603(a) of SEC Regulation NMS provides that any national [...]