Transmitting Customer Funds for Subscription-Way Transactions
On July 9, 2016, FINRA Rule 2341 (Investment Company Securities) [...]
26
08, 2016
25
08, 2016
TRACE – Another Proposed Rule Change
FINRA is proposing to expand the Trade Reporting and Compliance [...]
24
08, 2016
Amendment to FINRA RULE 4524: OBS Requirements
In April 2016, the Securities and Exchange Commission (SEC) approved [...]
23
08, 2016
Private Placement Filing Requirements under FINRA Rule 5123
In recent years, FINRA has enacted new rules regarding private [...]
22
08, 2016
Registering with the Securities Information Center (SIC)
Does your firm accept custody of physical stock certificates? If [...]
19
08, 2016
Business Continuity – Weather-Related Events
Recent U.S. natural disasters, especially Hurricane Sandy in 2012, underscore [...]
18
08, 2016
Private Placement Filing Requirements Under FINRA Rule 5122
In recent years, FINRA has enacted new rules regarding private [...]
17
08, 2016
FINRA Cycle Examinations
No less than once every four years, FINRA member firms [...]
16
08, 2016
Gifts, Gratuities, and Non-Cash Compensation Rules
In December 2014, FINRA published a report on its review [...]
15
08, 2016
About Us: Full-Service Compliance Consulting Firm
Securities Compliance Management, Inc., also doing business as MasterCompliance, is [...]