FINRA’s New Supplemental Liquidity Schedule (SLS)
FINRA has established a new Supplemental Liquidity Schedule (SLS). The [...]
3
09, 2021
27
08, 2021
Supervising Vendors
FINRA recently released Regulatory Notice 21-29 regarding a broker-dealer's obligation [...]
6
08, 2021
FINRA’s Annual Meeting and Elections
FINRA will conduct its Annual Meeting of firms on Wednesday, [...]
30
07, 2021
FINRA Adopts Rules to Further Restrict Brokers with Disclosures
FINRA uses a combination of tools to reduce the risk [...]
23
07, 2021
FINRA’s Change to Rules 5122 and 5123
On July 15, 2021, FINRA released Regulatory Notice 21-26 announcing [...]
16
07, 2021
FINRA’s New And Improved Fund Analyzer Tool
FINRA has recently given us all a new and improved [...]
14
07, 2021
Cybersecurity Exam Observations and Effective Practices
Cybersecurity remains one of the principal operational risks facing broker-dealers [...]
2
07, 2021
FINRA Eliminates the Order Audit Trail System (OATS) Rules
Effective September 1, 2021, FINRA is amending its rulebook to [...]
30
06, 2021
Regulators Focus on Reg BI During 2021 Audits
The Securities and Exchange Commission adopted a new rule under [...]
28
06, 2021
How to Qualify for Puerto Rico’s Act 22
Also, Act 22, known as “The Individual Investors Act” targets [...]