Excessive Trading
It is not an uncommon practice for a client to [...]
It is not an uncommon practice for a client to [...]
Safeguarding From Fraudulent Activity At any given time, natural disasters [...]
Is your broker dealer ready for disaster? Across the United [...]
Twenty years ago, when all of us worked in the [...]
Broker dealers, specifically the Chief Compliance Officer (“CCO”), are required [...]
The Financial Industry Regulatory Authority (“FINRA”) Rule 3110 gives explicit [...]
Anti-Money Laundering Compliance
For the broker dealer, there are a few things that [...]
As with all career choices, there are some vital pieces [...]
All broker dealers have recordkeeping obligations required by Rule 17a-4(b)(4) [...]