admin, Author at Master Compliance

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So far admin has created 438 blog entries.

10 06, 2016

2016 Broker-Dealer Training Considerations

Annual broker-dealer training should be derived from relevant regulatory and/or [...]

9 06, 2016

By admin|2016-06-09T15:44:53-04:00June 9, 2016|MSRB, Rules and Regulations|

Regulators are focusing their attention on municipal securities firms that [...]

8 06, 2016

By admin|2016-06-08T08:45:13-04:00June 8, 2016|Continuing Education, FINRA|

FINRA has established a Web-based delivery method for completing the [...]

7 06, 2016

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

6 06, 2016

A recently approved rule from the Department of Labor (“DOL”) [...]

4 06, 2016

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

3 06, 2016

By admin|2016-06-03T12:08:48-04:00June 3, 2016|Broker-Dealer, Cybersecurity, FINRA|

As technology continues to advance and broker-dealers become increasingly more [...]

3 06, 2016

By admin|2016-06-03T11:01:40-04:00June 3, 2016|Broker-Dealer, FINRA, Rules and Regulations|

The SEC recently approved amendments to FINRA Rule 2210 (Communications [...]