New Product Considerations for Broker-Dealers
What do you do when you add a new product [...]
What do you do when you add a new product [...]
The question of who is required to have an active [...]
FINRA Rule 1250(b) discusses FINRA’s Firm Element continuing education requirements. [...]
Note: With the implementation of the Test Enrollment Services System [...]
In our modernized world of peer-to-peer lending, where pulling a [...]
The SEC recently approved FINRA’s proposed rule change to adopt [...]
Under certain conditions, a broker-dealer may maintain and preserve records [...]
FINRA member firms are required to annually renew their registrations [...]
In accordance with FINRA Rule 3270, all registered persons must [...]
In our August 31 post about FINRA Rule 3110(e) (Supervision: [...]