The Chief Compliance Officer
As with all career choices, there are some vital pieces [...]
5
06, 2023
31
05, 2023
Communication Recordkeeping in the Day of the Hybrid Workforce
All broker dealers have recordkeeping obligations required by Rule 17a-4(b)(4) [...]
23
05, 2023
Outsourced Compliance
Are there times when as a Financial Industry Regulatory Authority [...]
18
05, 2023
Becoming a Registered Broker Dealer
When a firm makes the decision to become a registered [...]
21
04, 2023
Annual Audit Season
When a broker dealer hears the words “annual audit season”, [...]
19
12, 2022
Financial Reporting for Broker Dealers
Financial Reporting for Broker Dealers. When you decide to enter [...]
15
12, 2022
FINRA OFAC Search Tool Retiring
Financial Industry Regulatory Authority (“FINRA”) provides an OFAC search tool [...]
13
12, 2022
FINRA Enforcement: Bringing Cases Against Individual Brokers
On September 20th, FINRA released the podcast FINRA Enforcement: Bringing [...]
30
11, 2022
FINRA Unscripted Podcast: Membership Application Program – Reviewing and Approving Digital Asset Firms
This is a summary of a recent FINRA podcast on Membership Application Program.
23
11, 2022
Let’s Talk Aggregate Indebtedness
Every broker dealer has at least one thing in common [...]