Footnote 74 Under SEC’s Customer Protection Rule
The U.S. Securities and Exchange Commission (SEC) and the Financial [...]
24
12, 2020
17
12, 2020
FINRA Report Filing Due Dates for 2021
FINRA recently released a notice about 2021 and first quarter [...]
15
12, 2020
UTMA and UGMA Custodial Accounts
Uniform Transfers to Minors Act (UTMA) and Uniform Gifts to [...]
19
11, 2020
Order Routing and The Price of Non-Disclosure
In May of this year, the SEC fined Bloomberg Tradebook [...]
16
11, 2020
FINRA Rule 3210: Accounts At Other Financial Institutions
On April 3, 2017, FINRA Rule 3210 for Accounts At [...]
6
11, 2020
Tools to Conquer Compliance Program Challenges
Compliance responsibilities grow with every passing year. New regulatory mandates, [...]
30
10, 2020
Supervisory Control: The Basics of Rule 3120
Most broker-dealers are aware of their annual requirement to test [...]
28
10, 2020
Supervision of Supervisory Personnel
FINRA Rule 3110 provides the requirements for building and maintaining [...]
22
10, 2020
Challenges with Outside Business Activity Disclosures
An outside business activity (“OBA”) is defined as a registered [...]
19
10, 2020
FINRA Examination: How to Prepare
You get that call, and your heart drops. You knew [...]