FINRA Disciplinary Actions from January 2020
The Monthly Disciplinary and Other FINRA Actions report from January [...]
20
02, 2020
13
02, 2020
Annual Training Considerations for Broker/Dealers
It’s 2020 and as the new year rolls in, so [...]
27
12, 2019
Electronic Storage Requirements: Is Your Firm Ready to Go Paperless?
Is your small broker-dealer drowning in boxes and boxes of [...]
18
12, 2019
Annual Compliance Requirements: Year-End Priorities
It’s that time of the year again! As the fourth [...]
1
11, 2019
Digital Communications: 2019 FINRA Report
In the recent “2019 Report on FINRA Examination Findings and [...]
20
08, 2019
Custody of Cryptocurrency: Considerations for Broker-Dealers
It is evident that the U.S. Securities and Exchange Commission [...]
14
08, 2019
Cryptocurrency Reg A+ Offering Approved by the SEC
Last month, the U.S. Securities and Exchange Commission (SEC) finally [...]
31
07, 2019
On-Site Due Diligence for Product Sponsors
Thanks to technology, a majority of the gathering and reviewing [...]
22
07, 2019
The Senior Safe Act: “Immunity” with Conditions
On May 23, 2019, the SEC, NASAA, and FINRA published [...]
17
07, 2019
AML Podcast Released by FINRA – Unscripted
During April and May 2019, FINRA introduced a new AML [...]