OBAs & PSTs: FINRA Seeks Comment on Proposed Rule
Last spring, FINRA began a review of its rules regarding [...]
6
04, 2018
5
02, 2018
FINRA’s 2017 Examination Findings
Recently, the Financial Industry Regulatory Authority (“FINRA”) released its 2018 [...]
19
01, 2018
FINRA’S COMPLIANCE CALENDAR – FEBRUARY 2018
Good news!!! FINRA’S 2018 February Compliance Calendar has been posted [...]
3
01, 2018
What is Form U5 and What is it used for?
The Form U5 is the Uniform Termination Notice for Securities [...]
27
12, 2017
FINRA’S COMPLIANCE CALENDAR – January 2018
IT’S ALMOST 2018!!!! As we approach the New Year, firms [...]
27
12, 2017
FINRA’S EXAMINATION FINDINGS
Recently, the Financial Industry Regulatory Authority (“FINRA”) released a report [...]
21
12, 2017
What is Form U4 and What Sections are on it?
Form U4 is the Uniform Application for Securities Industry Registration [...]
15
12, 2017
FINRA Rule 2210 and Social Networking Websites
FINRA Rule 2210 requires that firms retain records of communications [...]
10
12, 2017
Regulation D Exemptions
Regulation D, established by the Securities and Exchange Commission, provides [...]
8
12, 2017
Change to Definition of Qualified Client
The Securities and Exchange Commission (“SEC”) recently announced an upcoming [...]