Highlights from FINRA Small Firm Conference Call: Part 2
Earlier this month, FINRA hosted a Small Firm Conference Call [...]
29
04, 2020
27
04, 2020
Highlights from FINRA Small Firm Conference Call: Part 1
Earlier this month, FINRA hosted a Small Firm Conference Call [...]
22
04, 2020
Supervision Relief Related to COVID-19 Pandemic
FINRA Rule 3110 Supervision requires a firm to establish and [...]
8
04, 2020
Compliance and COVID-19: Opportunities for Growth
The spread of the COVID-19 pandemic has presented challenges for [...]
3
04, 2020
Teleworking Considerations During COVID-19 Pandemic
Many financial service institutions have been hesitant to create teleworking [...]
27
03, 2020
BCP and COVID-19: Considerations for Firms
Many financial service firms have written supervisory procedures in place [...]
25
03, 2020
U4 Disclosure Updates: Cautionary Tales
Failure to timely update information on individual Form U4 disclosure [...]
20
03, 2020
FINRA Proposal to Enhance Continuing Education
The Securities Industry/Regulatory Council on Continuing Education (CE Council) recently [...]
11
03, 2020
Examination and Risk Monitoring: What to Expect in 2020
FINRA recently released a podcast called “What to Expect: The [...]
6
03, 2020
Annual Compliance Meeting: A Retrospective Review
FINRA initiated a retrospective review of the annual compliance meeting [...]