30 09, 2024

Artificial Intelligence and Compliance Challenges in the Broker Dealer Industry

By |2024-09-30T10:51:14-04:00September 30, 2024|AI, Broker-Dealer, Communication, FINRA, Rules and Regulations, SEC|

Today’s broker dealer industry is in the midst of a [...]

Read More
31 05, 2023

Communication Recordkeeping in the Day of the Hybrid Workforce

By |2023-05-31T11:57:23-04:00May 31, 2023|Broker-Dealer, Broker-Dealer Ownership, Communication, Communications, FINRA, Rules and Regulations|

All broker dealers have recordkeeping obligations required by Rule 17a-4(b)(4) [...]

Read More
5 12, 2022

Electronic and Technology Takeaways from SEC’s Billion Dollar Penalties

By |2022-12-05T11:23:08-05:00December 5, 2022|Broker-Dealer, Communication, Communications, Rules and Regulations, SEC|

On September 22, 2022, the Securities and Exchange Commission announced [...]

Read More
20 01, 2021

FINRA’s Proposed Change to Rules 5122 and 5123

By |2021-01-20T13:52:43-05:00January 20, 2021|Broker-Dealer, Communication, Communications, Filing Requirements, FINRA, Private Placements, Retail Communications, Rules and Regulations, SEC, Social Media, Supervision|

On October 28, 2020, FINRA filed a proposed rule change [...]

Read More
Go to Top