FINRA Rule 3241: Registered Person as Customer’s Beneficiary
On October 29, 2020 FINRA released a regulatory notice detailing [...]
10
02, 2021
8
02, 2021
Acting in the Best Interest of Your Elderly Clients
As the baby boomer generation reaches retirement age, regulators have [...]
2
02, 2021
SEC Rule to Simplify Exempt Offering Framework for Small Firms
On Nov. 2, 2020, the U.S. Securities and Exchange Commission [...]
1
02, 2021
SEC Rule to Allow for the Use Electronic Signatures
The SEC recently adopted a rule change to allow for [...]
29
01, 2021
Our Top 5 Blogs of 2020
MasterCompliance continues to provide clients and the public with guidance [...]
26
01, 2021
Updates to Form CRS in 2020 (Part 2)
The SEC released updates to Form CRS in 2020 with [...]
20
01, 2021
FINRA’s Proposed Change to Rules 5122 and 5123
On October 28, 2020, FINRA filed a proposed rule change [...]
19
01, 2021
Updates to Form CRS in 2020 (Part 1)
The SEC released updates to Form CRS in 2020 with [...]
24
12, 2020
Footnote 74 Under SEC’s Customer Protection Rule
The U.S. Securities and Exchange Commission (SEC) and the Financial [...]
17
12, 2020
FINRA Report Filing Due Dates for 2021
FINRA recently released a notice about 2021 and first quarter [...]