OBAs and PSTs – FINRA’s Proposed Rule Change
In May of 2017, FINRA released a Retrospective Rule Review [...]
26
06, 2019
17
06, 2019
Supervisory Responsibilities – NASD Guidance
If you are a broker dealer or a supervisor at [...]
14
05, 2019
Imposter Websites Reported by Member Firms
FINRA has recently received notice from several FINRA member firms [...]
25
04, 2019
Expense Sharing with Third Parties for B/Ds
Expense sharing agreements between broker-dealers and third parties are a [...]
25
02, 2019
Fraudulent Phishing Emails – A Warning from FINRA
FINRA warns member firms to be on the lookout for [...]
29
11, 2018
Quantitative Suitability – FINRA Rule 2111
Welcome to the third and final part in our series [...]
28
11, 2018
Customer-Specific Suitability-FINRA Rule 2111
This post is the second in our three-part series on [...]
26
11, 2018
Reasonable-Basis Suitability – FINRA Rule 2111
Although suitability is a well-established principle within the securities industry, [...]
9
11, 2018
2019 FINRA Renewal Program for BDs and RIAs
The 2019 FINRA Renewal Program for Broker-Dealers, Investment Adviser Firms, [...]
22
10, 2018
Guidance on Third-Party Recordkeeping Services and SEA Rule 17a-4
As you may remember from our earlier post on the [...]