admin, Author at Master Compliance

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So far admin has created 438 blog entries.

14 10, 2016

Firm Element Advisory Posted

FINRA Rule 1250(b) discusses FINRA’s Firm Element continuing education requirements. [...]

13 10, 2016

By admin|2016-10-13T12:52:59-04:00October 13, 2016|Registered Investment Advisers, SEC|

[Continued from Exempt Reporting Adviser Registration – Part I] Requirements [...]

13 10, 2016

By admin|2016-10-13T12:31:28-04:00October 13, 2016|Registered Investment Advisers, SEC|

The Dodd-Frank Act (“Dodd-Frank”) not only mandated the registration of countless [...]

22 09, 2016

By admin|2016-09-22T15:43:40-04:00September 22, 2016|Registered Investment Advisers, SEC|

The Securities and Exchange Commission (SEC) recently announced revisions to [...]

21 09, 2016

Note: With the implementation of the Test Enrollment Services System [...]

20 09, 2016

By admin|2016-09-20T11:09:59-04:00September 20, 2016|Broker-Dealer, FINRA, Rules and Regulations|

In our modernized world of peer-to-peer lending, where pulling a [...]

19 09, 2016

The SEC recently approved FINRA’s proposed rule change to adopt [...]

19 09, 2016

By admin|2016-09-19T12:19:18-04:00September 19, 2016|Broker-Dealer, Rules and Regulations, SEC|

Under certain conditions, a broker-dealer may maintain and preserve records [...]

19 09, 2016

By admin|2016-09-19T11:59:32-04:00September 19, 2016|Broker-Dealer|

FINRA member firms are required to annually renew their registrations [...]

13 09, 2016

By admin|2016-09-13T15:57:52-04:00September 13, 2016|Broker-Dealer|

In accordance with FINRA Rule 3270, all registered persons must [...]