TRACE Trade Reports: Time of Execution
Broker-Dealer firms are required under FINRA Rule 6730 (Transaction Reporting) [...]
Broker-Dealer firms are required under FINRA Rule 6730 (Transaction Reporting) [...]
General Solicitation Under Rule 506(c) In 2013 and in accordance [...]
Suitability is one of the most important concepts for an [...]
The loss of key personnel can have a devastating effect [...]
FINRA is proposing to amend the FINRA Rule 6700 Series [...]
If you’re reading this blog, you probably know all about [...]
In the broker-dealer industry, firms are always looking for ways [...]
Often times, broker-dealers decide to restructure and make changes in [...]
Identification of Politically Exposed Persons (PEPS) is vital because due [...]
On May 22, 2015, the Securities and Exchange Commission (SEC) [...]