The DOL’s Fiduciary Rule Transition Period Extended 18 Months
As you may recall, the Fiduciary Rule’s BIC Exemption and [...]
13
12, 2017
10
12, 2017
Regulation D Exemptions
Regulation D, established by the Securities and Exchange Commission, provides [...]
8
12, 2017
Change to Definition of Qualified Client
The Securities and Exchange Commission (“SEC”) recently announced an upcoming [...]
10
11, 2017
Pay-to-Play: Capital Acquisition Brokers
Earlier this year, FINRA began accepting applications for firms wishing [...]
9
11, 2017
Financial Exploitation of Seniors
FINRA has announced new rules relating to the financial exploitation [...]
3
11, 2017
The Differences between a Broker, Dealer, and Broker-Dealer
In the securities industry, there are many key players. I’m [...]
20
10, 2017
Customer Complaints in the Social Media Era – FINRA Rule 4530
As technology continues to advance, the Financial Industry Regulatory Authority [...]
6
10, 2017
The Importance of a Chinese Wall in Multi-Service Securities Firms
Multi-service securities firms have a high risk of insider trading [...]
27
07, 2017
Order Audit Trail System (OATS)
Established by FINRA, the Order Audit Trail System (OATS), is [...]
21
07, 2017
FinCEN vs. OFAC
What is the difference between FinCEN and OFAC? Both organizations [...]