Benefits of Starting a New Broker-Dealer
Since 2003, we have been assisting firms with starting new [...]
28
05, 2020
27
05, 2020
Regulation Best Interest: Examination Focus Areas
Last month, the SEC’s Office of Compliance Inspections and Examinations [...]
21
05, 2020
Form CRS: Initial Examination Guidance
The June 30th compliance deadline for Regulation Best Interest and [...]
15
05, 2020
Disciplinary Actions by FINRA: April 2020
FINRA publishes a monthly review of disciplinary actions taken against [...]
1
05, 2020
Communications Surveillance Challenges While Teleworking
As firms continue executing work from home policies, they should [...]
29
04, 2020
Highlights from FINRA Small Firm Conference Call: Part 2
Earlier this month, FINRA hosted a Small Firm Conference Call [...]
27
04, 2020
Highlights from FINRA Small Firm Conference Call: Part 1
Earlier this month, FINRA hosted a Small Firm Conference Call [...]
22
04, 2020
Supervision Relief Related to COVID-19 Pandemic
FINRA Rule 3110 Supervision requires a firm to establish and [...]
20
04, 2020
AML and Suitability Challenges During COVID-19
FINRA Rule 3310 provides broker-dealer guidance on how to design, [...]
8
04, 2020
Compliance and COVID-19: Opportunities for Growth
The spread of the COVID-19 pandemic has presented challenges for [...]