Broker-Dealer Archives - Page 26 of 29

14 08, 2016

Business Continuity Plan: Pandemic Preparedness

By admin|2016-08-14T12:36:57-04:00August 14, 2016|Broker-Dealer|

In accordance with FINRA Rule 4370 (Business Continuity Plans and [...]

11 08, 2016

By admin|2016-08-11T16:04:47-04:00August 11, 2016|Broker-Dealer|

FINRA is proposing to expand the Trade Reporting and Compliance [...]

10 08, 2016

By admin|2016-08-10T15:07:16-04:00August 10, 2016|Broker-Dealer|

Broker-Dealer firms are required under FINRA Rule 6730 (Transaction Reporting) [...]

9 08, 2016

By admin|2016-08-09T17:49:25-04:00August 9, 2016|Broker-Dealer|

General Solicitation Under Rule 506(c) In 2013 and in accordance [...]

8 08, 2016

By admin|2016-08-08T16:44:05-04:00August 8, 2016|Broker-Dealer|

Suitability is one of the most important concepts for an [...]

5 08, 2016

The loss of key personnel can have a devastating effect [...]

4 08, 2016

By admin|2016-08-04T10:20:12-04:00August 4, 2016|Broker-Dealer|

FINRA is proposing to amend the FINRA Rule 6700 Series [...]

27 07, 2016

By admin|2016-07-27T14:28:07-04:00July 27, 2016|Broker-Dealer|

If you’re reading this blog, you probably know all about [...]

26 07, 2016

By admin|2016-07-26T09:54:36-04:00July 26, 2016|Broker-Dealer|

In the broker-dealer industry, firms are always looking for ways [...]

25 07, 2016

By admin|2016-07-25T17:04:34-04:00July 25, 2016|Broker-Dealer|

Often times, broker-dealers decide to restructure and make changes in [...]