FINOP Archives - Master Compliance

25 06, 2024

Capital Requirements for Broker Dealers

By Admin|2024-07-11T13:54:12-04:00June 25, 2024|Broker-Dealer, FINOP, FINRA, Net Capital Rule|

Broker dealers play a vital role in the financial markets [...]

4 06, 2024

By admin|2024-06-25T12:31:21-04:00June 4, 2024|Broker-Dealer, Examinations, FINOP|

Per the National Association of Securities Dealers (“NASD”) Rule 1022, [...]

28 05, 2024

By admin|2024-05-28T12:31:43-04:00May 28, 2024|Broker-Dealer, FINOP, Rules and Regulations, SEC|

For a broker dealer, there’s a single word that is [...]

21 05, 2024

By admin|2024-05-21T11:12:52-04:00May 21, 2024|FINOP, FINRA|

Ethical Considerations for FINOP’s In the financial services industry, the [...]