Lessons from FINRA’s Cybersecurity Conference
As the end of the year approaches, it is a [...]
24
11, 2020
16
11, 2020
FINRA Rule 3210: Accounts At Other Financial Institutions
On April 3, 2017, FINRA Rule 3210 for Accounts At [...]
30
10, 2020
Supervisory Control: The Basics of Rule 3120
Most broker-dealers are aware of their annual requirement to test [...]
28
10, 2020
Supervision of Supervisory Personnel
FINRA Rule 3110 provides the requirements for building and maintaining [...]
22
10, 2020
Challenges with Outside Business Activity Disclosures
An outside business activity (“OBA”) is defined as a registered [...]
19
10, 2020
FINRA Examination: How to Prepare
You get that call, and your heart drops. You knew [...]
15
10, 2020
Why Small Firms Need Compliance Program Assessments
With the rise in new regulations, small firms generally experience [...]
1
10, 2020
AML and Branch Audits in the Time of COVID-19
At the beginning of the year, FINRA released important updates [...]
24
09, 2020
FINRA Continuing Membership Application (“CMA”)
When a broker-dealer implements a significant change in the strategies [...]
15
09, 2020
Cybersecurity in the Time of COVID-19
For many firms, a remote workforce is now a new [...]