1017 Change in Membership Review
In our 1017 Change in Membership blog we discussed events [...]
In our 1017 Change in Membership blog we discussed events [...]
When a member intends to add a line of business, [...]
The Firm should review areas of its business to determine [...]
Firms should have appropriately established controls for review, approval, and [...]
Citigroup Global Markets Inc. was recently censured and fined $350,000.00 [...]
FINRA has established a new Supplemental Liquidity Schedule (SLS). The [...]
FINRA recently released Regulatory Notice 21-29 regarding a broker-dealer's obligation [...]
The U. S. Department of Labor (DOL) recently published their [...]
This blog is a follow up to our Change to [...]
FINRA will conduct its Annual Meeting of firms on Wednesday, [...]