Suitability Obligation under FINRA Rule 2111
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The SEC recently approved FINRA’s proposed rule change to adopt [...]
In today’s culture, the utilization of social media for business [...]
Is your firm trying to figure out how to accomplish [...]
On July 29, 2016, the SEC issued a no-action letter [...]
FINRA Rule 3110(e) (Supervision: Responsibility of Member Firms to Investigate [...]
FINRA Rule 4530 (Reporting Requirements) requires FINRA member firms to [...]
A broker-dealer’s new hire process can be long and stressful. [...]
On July 9, 2016, FINRA Rule 2341 (Investment Company Securities) [...]
FINRA is proposing to expand the Trade Reporting and Compliance [...]