Broker-Dealer Archives - Page 27 of 29

22 07, 2016

Identification of Politically Exposed Persons

By admin|2016-07-22T10:22:24-04:00July 22, 2016|Broker-Dealer|

Identification of Politically Exposed Persons (PEPS) is vital because due [...]

20 07, 2016

By admin|2016-07-20T15:21:02-04:00July 20, 2016|Broker-Dealer|

On May 22, 2015, the Securities and Exchange Commission (SEC) [...]

19 07, 2016

By admin|2016-07-19T15:05:36-04:00July 19, 2016|Broker-Dealer|

We have all heard the stories about small or startup [...]

18 07, 2016

By admin|2016-07-18T16:48:55-04:00July 18, 2016|Broker-Dealer|

As should be expected, broker dealers are not free to [...]

15 07, 2016

By admin|2016-07-15T10:14:55-04:00July 15, 2016|Broker-Dealer|

On May 11, 2016, the Financial Crimes Enforcement Network (FinCEN) [...]

13 07, 2016

By admin|2016-07-13T14:22:24-04:00July 13, 2016|Broker-Dealer|

The Securities and Exchange Commission (SEC) has approved a new [...]

12 07, 2016

By admin|2016-07-12T10:31:34-04:00July 12, 2016|Broker-Dealer|

As members of the securities industry, we have all completed [...]

11 07, 2016

By admin|2016-07-11T14:30:10-04:00July 11, 2016|Broker-Dealer|

Those associated with broker-dealers are put in a position where [...]

8 07, 2016

By admin|2016-07-08T09:44:06-04:00July 8, 2016|Broker-Dealer|

On July 6, 2016, the U.S. Department of the Treasury’s [...]

6 07, 2016

By admin|2016-07-06T13:12:15-04:00July 6, 2016|Broker-Dealer|

Around June 1, 2016, active FINRA member firms should have [...]