Change to Definition of Qualified Client
The Securities and Exchange Commission (“SEC”) recently announced an upcoming [...]
The Securities and Exchange Commission (“SEC”) recently announced an upcoming [...]
Earlier this year, FINRA began accepting applications for firms wishing [...]
FINRA has announced new rules relating to the financial exploitation [...]
In the securities industry, there are many key players. I’m [...]
As technology continues to advance, the Financial Industry Regulatory Authority [...]
Multi-service securities firms have a high risk of insider trading [...]
Established by FINRA, the Order Audit Trail System (OATS), is [...]
What is the difference between FinCEN and OFAC? Both organizations [...]
FINRA Rule 3130 (formerly known as NASD Rule 3013) requires [...]
FINRA Rule 3210 (Accounts at Other Broker-Dealers and Financial Institutions), [...]