FINRA RULE 3130 (ANNUAL CERTIFICATION OF COMPLIANCE AND SUPERVISORY PROCESSES)
FINRA Rule 3130 (formerly known as NASD Rule 3013) requires [...]
19
06, 2017
16
06, 2017
FINRA Rule 3210 (Accounts at Other Broker-Dealers and Financial Institutions)
FINRA Rule 3210 (Accounts at Other Broker-Dealers and Financial Institutions), [...]
14
06, 2017
Rule 4530 Product and Problem Codes and Filing Application Form to reflect changes related to the DOL’s fiduciary rule
FINRA announced that it has revised the Rule 4530 (Reporting [...]
31
05, 2017
FINRA Provides Reminders Concerning the Use of Social Networking Websites and Business Communications
In today’s ever-changing technological environment, overseeing new forms of communication [...]
24
02, 2017
FINRA Rule 2232 – Customer Confirmations
As summarized below, the SEC has recently approved amendments to [...]
9
01, 2017
Broker-Dealers: Mergers, Acquisitions, & Successions
In today’s ever morphing environment, business restructures are quite common. [...]
20
12, 2016
Broker-Dealer Compliance: Changes in Business
Running a broker-dealer is not an easy task. Firms must [...]
6
12, 2016
Nontraditional Exchange-Traded Funds: Suitability Guidelines
On June 8, 2016, FINRA published a News Release to [...]
27
10, 2016
Financial Exploitation of Specified Adults
FINRA recently filed proposed new regulations regarding broker-dealer compliance with [...]
25
10, 2016
FINRA Membership Interview – Part II
[Continued from FINRA Membership Interview – Part I] What happens [...]