Customer Identification Program “CIP”
Broker Dealers are faced with a number of demanding rules and regulations in the financial industry today.
2
05, 2023
21
04, 2023
Annual Audit Season
When a broker dealer hears the words “annual audit season”, [...]
10
04, 2023
Cyber Security – Is the “Blind leading the Blind?”
As consultants, we can’t emphasize enough the importance of having a proactive cyber security program that is specifically tailored to protect disruption of critical systems as well as protection of sensitive data for both the firm and its customers.
19
12, 2022
Financial Reporting for Broker Dealers
Financial Reporting for Broker Dealers. When you decide to enter [...]
13
12, 2022
FINRA Enforcement: Bringing Cases Against Individual Brokers
On September 20th, FINRA released the podcast FINRA Enforcement: Bringing [...]
5
12, 2022
Electronic and Technology Takeaways from SEC’s Billion Dollar Penalties
On September 22, 2022, the Securities and Exchange Commission announced [...]
30
11, 2022
FINRA Unscripted Podcast: Membership Application Program – Reviewing and Approving Digital Asset Firms
This is a summary of a recent FINRA podcast on Membership Application Program.
23
11, 2022
Let’s Talk Aggregate Indebtedness
Every broker dealer has at least one thing in common [...]
15
11, 2022
Key Steps for Starting a Broker-Dealer
Individuals and companies desire to start a broker-dealer for many [...]
8
11, 2022
Understanding the Difference: Series 63, Series 65 Or Series 66
When a person is preparing to enter the financial services [...]