Communication Recordkeeping in the Day of the Hybrid Workforce
All broker dealers have recordkeeping obligations required by Rule 17a-4(b)(4) [...]
31
05, 2023
5
12, 2022
Electronic and Technology Takeaways from SEC’s Billion Dollar Penalties
On September 22, 2022, the Securities and Exchange Commission announced [...]
23
07, 2021
FINRA’s Change to Rules 5122 and 5123
On July 15, 2021, FINRA released Regulatory Notice 21-26 announcing [...]
17
03, 2021
Message Archiving
An important component of financial compliance for broker-dealers is establishing [...]
11
03, 2021
COVID-19 and Fixed Income Update
FINRA Rule 2232 requires firms to provide retail customers with [...]
24
02, 2021
FINRA’s Top Priorities for 2021
Early in the year, FINRA released their 2021 Report on [...]
20
01, 2021
FINRA’s Proposed Change to Rules 5122 and 5123
On October 28, 2020, FINRA filed a proposed rule change [...]
1
05, 2020
Communications Surveillance Challenges While Teleworking
As firms continue executing work from home policies, they should [...]