Communication Recordkeeping in the Day of the Hybrid Workforce
All broker dealers have recordkeeping obligations required by Rule 17a-4(b)(4) [...]
All broker dealers have recordkeeping obligations required by Rule 17a-4(b)(4) [...]
On September 22, 2022, the Securities and Exchange Commission announced [...]
On October 28, 2020, FINRA filed a proposed rule change [...]
Associated person disclosures and attestations are not a “one size [...]
COVID-19 has bought a “new normal”. From stay-at-home orders and [...]