Act 22: Puerto Rico Tax Incentives
In January of 2012, Puerto Rico passed legislation making it [...]
16
06, 2021
14
06, 2021
MSRB Reminders: Regulatory Exam Priorities
As part of its routine examinations, FINRA will often coordinate [...]
11
06, 2021
Arbitration Clauses
Recently FINRA released a Regulatory Notice reminding member firms that [...]
9
06, 2021
FINRA Highlights Changes To eFOCUS Reporting Requirements For SBS Dealers
In 2019, the Securities and Exchange Commission (SEC) adopted amendments [...]
4
06, 2021
Brokers with a Disclosure History
On March 10, FINRA issued Regulatory Notice 21-09 announcing FINRA’s [...]
24
05, 2021
How to Qualify for Puerto Rico’s Act 20
Act 20, known as the “Export Services Act”, provides tax [...]
19
05, 2021
Act 20: Puerto Rico Tax Incentives
In January of 2012, Puerto Rico passed legislation making it [...]
17
05, 2021
Rule 13(f)
Institutional investment managers (“Managers”) must use Form 13F for reports [...]
7
05, 2021
Form ADV Part 3: Relationship Summary
Under rule 17a-14 under the Securities Exchange Act of 1934 [...]
30
04, 2021
Exclusions from Registration as an Agent
Agents are individuals in a sales capacity who represent broker-dealers [...]