FINRA Rule 2273-Recruitment Practices
FINRA has long been concerned with practices used by broker-dealers [...]
8
12, 2017
29
11, 2017
New Anti-Money Laundering Program Requirements
Recently, the Financial Crimes Enforcement Network (“FinCEN”) adopted a final [...]
20
11, 2017
FINRA’S COMPLIANCE CALENDAR – DECEMBER 2017
As we are approaching December 2017, you should review FINRA’s [...]
10
11, 2017
Pay-to-Play: Capital Acquisition Brokers
Earlier this year, FINRA began accepting applications for firms wishing [...]
24
10, 2017
FINRA’S COMPLIANCE CALENDAR- NOVEMBER 2017
As November approaches, let’s take a look at the upcoming [...]
20
10, 2017
Customer Complaints in the Social Media Era – FINRA Rule 4530
As technology continues to advance, the Financial Industry Regulatory Authority [...]
13
10, 2017
What is the SIE Exam?
As mentioned in our previous post, What is on the [...]
12
10, 2017
FINRA Rule 3120: Supervisory Control System
Supervisory System A firm’s supervisory system serves as its foundation [...]
24
09, 2017
FINRA COMPLIANCE CALENDAR-OCTOBER 2017
As we are approaching October 2017, it is a good [...]
5
09, 2017
What is on the Series 7 exam?
The financial services industry is heavily regulated. In order to [...]