AML-CIP Requirements for Private Placement Transactions
The world of private placement transactions is one that is [...]
5
07, 2016
5
07, 2016
FINRA Rule 4150: Assuming the Liabilities of Others
A broker-dealer, especially one that is not a member of [...]
30
06, 2016
FINRA Rule 2273: Recruitment Practices
FINRA has long been concerned with practices used by broker-dealers [...]
28
06, 2016
Interim Restriction on Continuing Membership Application
The FINRA journey of changes in ownership and control for [...]
23
06, 2016
Customer Identification Program (CIP) – Part II
We have updated this post! We are leaving this post [...]
23
06, 2016
Customer Identification Program (CIP) – Part I
We have updated this post! We are leaving this post [...]
22
06, 2016
Safe Harbor Expansion
NASD Rule 1017 is FINRA’s rule related to events [...]
21
06, 2016
Due Diligence and Registered Representatives
The topic of due diligence is widely discussed regarding the [...]
20
06, 2016
FINRA Rule 3110: Supervision
Last month, Stephens Inc. was censured by FINRA and fined [...]
17
06, 2016
MSRB Rule G-18: Best Execution
MSRB Rule G-18, the new best-execution rule for municipal securities, [...]