admin, Author at Master Compliance

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So far admin has created 438 blog entries.

22 12, 2016

FINRA 2017 Holiday Schedule

By admin|2016-12-22T17:09:40-05:00December 22, 2016|Rules and Regulations, SEC|

The FINRA 2017 Holiday Schedule has been released for trade [...]

20 12, 2016

By admin|2016-12-20T11:04:06-05:00December 20, 2016|Broker-Dealer|

Running a broker-dealer is not an easy task. Firms must [...]

16 12, 2016

By admin|2016-12-16T17:29:48-05:00December 16, 2016|Rules and Regulations, SEC|

While reviewing documents related to a private placement engagement, you [...]

15 12, 2016

By admin|2016-12-15T17:32:11-05:00December 15, 2016|Rules and Regulations, SEC, Uncategorized|

The CFTC and the SEC are jointly issuing final rules [...]

9 12, 2016

By admin|2016-12-09T15:39:09-05:00December 9, 2016|MSRB, Rules and Regulations|

Registered representatives have increasingly inquired about the application of certain [...]

8 12, 2016

By admin|2016-12-08T11:39:15-05:00December 8, 2016|FINRA, Uncategorized|

FINRA has put out a schedule for its member broker-dealers [...]

6 12, 2016

By admin|2016-12-06T11:07:31-05:00December 6, 2016|Broker-Dealer, Fines|

On June 8, 2016, FINRA published a News Release to [...]

5 12, 2016

By admin|2016-12-05T11:21:20-05:00December 5, 2016|MSRB, Rules and Regulations, Uncategorized|

MSRB Rule G-47, as it relates to time of trade [...]

2 12, 2016

By admin|2016-12-02T16:57:47-05:00December 2, 2016|Rules and Regulations, SEC|

The Securities and Exchange Commission (SEC) has approved a National [...]

18 11, 2016

By admin|2016-11-18T12:52:23-05:00November 18, 2016|FINRA, Rules and Regulations|

FINRA is soliciting comment on a proposal to provide for [...]