Questions for any Third Party FINOP Service Provider
Per the National Association of Securities Dealers (“NASD”) Rule 1022, [...]
4
06, 2024
19
12, 2022
Financial Reporting for Broker Dealers
Financial Reporting for Broker Dealers. When you decide to enter [...]
11
03, 2022
FINRA’s Top Priorities for 2022
Early in the year, FINRA released their 2022 Report on [...]
10
09, 2021
Personal Trade Reviews
Citigroup Global Markets Inc. was recently censured and fined $350,000.00 [...]
14
07, 2021
Cybersecurity Exam Observations and Effective Practices
Cybersecurity remains one of the principal operational risks facing broker-dealers [...]
21
04, 2021
RIA Branch Audit Planning
Investment advisers should consider the need to perform a branch [...]
19
10, 2020
FINRA Examination: How to Prepare
You get that call, and your heart drops. You knew [...]
30
07, 2020
Mid-Year Compliance Budget Planning
Reviewing your current mid-year compliance budget plan and adjusting for [...]
11
03, 2020
Examination and Risk Monitoring: What to Expect in 2020
FINRA recently released a podcast called “What to Expect: The [...]
1
11, 2019
Digital Communications: 2019 FINRA Report
In the recent “2019 Report on FINRA Examination Findings and [...]