Form U10 and TESS (Test Enrollment Services System)
Since our last post about Form U10, FINRA has implemented [...]
19
07, 2018
12
07, 2018
Cybersecurity Programs Remain a Priority in 2018
Cybersecurity programs remain a significant priority for financial services industry [...]
23
05, 2018
Crowdfunding: Funding Portal Registration – Part II
[Continued from Crowdfunding: Funding Portal Registration – Part I] Funding [...]
23
05, 2018
Crowdfunding: Funding Portal Registration – Part I
Title III of the Jumpstart Our Business Startups (JOBS) Act, [...]
15
05, 2018
Registering as a Capital Acquisition Broker (CAB)
A Capital Acquisition Broker (CAB) is a firm that engages [...]
16
04, 2018
FINRA Updates Anti-Money Laundering Template for Small Firms
Per the Bank Secrecy Act (BSA) and FINRA Rule 3310, [...]
6
04, 2018
OBAs & PSTs: FINRA Seeks Comment on Proposed Rule
Last spring, FINRA began a review of its rules regarding [...]
17
01, 2018
The NMA Process – Start A New Broker-Dealer
In order to start a new broker-dealer, you must submit [...]
10
01, 2018
Buy or Start a Broker-Dealer: Weighing the Two Options
Are you looking to start a broker-dealer or buy a [...]
15
12, 2017
FINRA Rule 2210 and Social Networking Websites
FINRA Rule 2210 requires that firms retain records of communications [...]