Communications with the Public – Part II
[Continued from Communications with the Public – Part I] Investment [...]
17
11, 2016
17
11, 2016
Communications with the Public – Part I
In April 2014, FINRA began a review of its communications [...]
28
10, 2016
Automatic Lock-In to ADF Disabled
Firms that use the Alternative Display Facility (ADF) to report [...]
27
10, 2016
Financial Exploitation of Specified Adults
FINRA recently filed proposed new regulations regarding broker-dealer compliance with [...]
25
10, 2016
FINRA Membership Interview – Part II
[Continued from FINRA Membership Interview – Part I] What happens [...]
25
10, 2016
FINRA Membership Interview – Part I
So, you’ve decided to start or own a broker-dealer. You [...]
21
10, 2016
FINRA Begins Publishing ATS Block Trade Data
FINRA has expanded its alternative trading system (ATS) transparency initiative. [...]
19
10, 2016
New Product Considerations for Broker-Dealers
What do you do when you add a new product [...]
18
10, 2016
Is a Series 24 Required to Own a BD?
The question of who is required to have an active [...]
14
10, 2016
Firm Element Advisory Posted
FINRA Rule 1250(b) discusses FINRA’s Firm Element continuing education requirements. [...]