Outside Business Activities (OBAs) Disclosure Obligations
In accordance with FINRA Rule 3270, all registered persons must [...]
13
09, 2016
9
09, 2016
FINRA Rule 3110(e): Form U4 Verification Process
In our August 31 post about FINRA Rule 3110(e) (Supervision: [...]
9
09, 2016
Suitability Obligation under FINRA Rule 2111
We have updated this post! We are leaving this post [...]
8
09, 2016
FINRA Rule 3210: Accounts at other Broker-Dealers and Financial Institutions
The SEC recently approved FINRA’s proposed rule change to adopt [...]
7
09, 2016
Utilization of Social Media in the Securities Industry
In today’s culture, the utilization of social media for business [...]
6
09, 2016
Firm Element Training, AML Training, & Annual Compliance Meeting
Is your firm trying to figure out how to accomplish [...]
2
09, 2016
Introducing Firm: Prompt Transmittal of Customer Checks
On July 29, 2016, the SEC issued a no-action letter [...]
31
08, 2016
Background Checks – FINRA Rule 3110
FINRA Rule 3110(e) (Supervision: Responsibility of Member Firms to Investigate [...]
30
08, 2016
FINRA Rule 4530 Reporting Requirements
FINRA Rule 4530 (Reporting Requirements) requires FINRA member firms to [...]
29
08, 2016
Broker-Dealer’s New Hire Process
A broker-dealer’s new hire process can be long and stressful. [...]