admin, Author at Master Compliance

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So far admin has created 438 blog entries.

23 06, 2016

Customer Identification Program (CIP) – Part II

We have updated this post! We are leaving this post [...]

23 06, 2016

We have updated this post! We are leaving this post [...]

22 06, 2016

By admin|2016-06-22T09:51:20-04:00June 22, 2016|Broker-Dealer, Safe Harbor|

NASD Rule 1017 is FINRA’s rule related to events [...]

21 06, 2016

By admin|2016-06-21T09:44:17-04:00June 21, 2016|Broker-Dealer, Due Diligence|

The topic of due diligence is widely discussed regarding the [...]

20 06, 2016

By admin|2016-06-20T16:07:00-04:00June 20, 2016|Broker-Dealer, Supervision|

Last month, Stephens Inc. was censured by FINRA and fined [...]

17 06, 2016

MSRB Rule G-18, the new best-execution rule for municipal securities, [...]

16 06, 2016

By admin|2016-06-16T12:21:30-04:00June 16, 2016|Broker-Dealer, FINRA, FINRA Conferences|

FINRA offers securities and compliance professionals valuable education and training [...]

14 06, 2016

By admin|2016-06-14T11:00:52-04:00June 14, 2016|Broker-Dealer, Crowdfunding, Regulation CF|

[Continued from Regulation Crowdfunding – Part I] Crowdfunding Requirements for [...]

14 06, 2016

By admin|2016-06-14T10:51:34-04:00June 14, 2016|Broker-Dealer, Crowdfunding, Regulation CF, SEC|

On October 30, 2015, the Securities and Exchange Commission (the “SEC”) voted [...]

13 06, 2016

Initially, when a firm receives FINRA approval to become a [...]