FINRA Requests Comment on Proposed Amendments to the FINRA Corporate Financing Rule
As summarized below, FINRA is currently seeking comment on proposed [...]
24
04, 2017
23
03, 2017
Recent Enforcement Actions from FINRA
As summarized below, FINRA recently announced some recent enforcement actions [...]
24
02, 2017
FINRA Rule 2232 – Customer Confirmations
As summarized below, the SEC has recently approved amendments to [...]
22
02, 2017
FINRA Requests Comment on Rules Governing Communications with the Public
FINRA recently published a Regulatory Notice to announce that it [...]
10
02, 2017
Submitting Fingerprints to FINRA
As a broker-dealer compliance company, we are often consulted about [...]
29
01, 2017
Important Annual Regulatory Certifications – Rule 4517
FINRA Rule 4517 – Member Filing and Contact Information Requirements [...]
9
01, 2017
Broker-Dealers: Mergers, Acquisitions, & Successions
In today’s ever morphing environment, business restructures are quite common. [...]
5
01, 2017
Amendments to FINRA Rule 4554 related to Alternative Trading Systems
FINRA has recently proposed certain amendments to Rule 4554 (Alternative [...]
8
12, 2016
FINRA Report Filings for Next Year
FINRA has put out a schedule for its member broker-dealers [...]
18
11, 2016
Quotation System for OTC Equity Securities
FINRA is soliciting comment on a proposal to provide for [...]