FINRA’s Top Priorities for 2022
Early in the year, FINRA released their 2022 Report on [...]
11
03, 2022
4
03, 2022
Amendments to FINRA Rules for Security-Based Swaps
In an effort to clarify the rules regarding security-based swaps [...]
25
02, 2022
SEC Rule 17f-2: Fingerprinting Of Securities Industry Personnel
Under SEC Rule 17F-2, every member of a national securities [...]
11
02, 2022
The 5% Rule (FINRA Rule 2121)
FINRA Rule 2121, also known as the 5% rule or [...]
4
02, 2022
Office of Supervisory Jurisdiction (OSJ)
An Office of Supervisory Jurisdiction (OSJ) is an office identified [...]
28
01, 2022
Our Top 5 Blogs of 2021
MasterCompliance continues to provide clients and the public with guidance [...]
14
01, 2022
Fidelity Bond Requirements (FINRA Rule 4360)
FINRA Rule 4360 requires each member firm to join the [...]
7
01, 2022
Spinning
Spinning is the practice of allocating highly sought-after IPO shares, [...]
31
12, 2021
Carrying Agreements
Most broker-dealers rely on another member firm to provide clearing, [...]
24
12, 2021
Proposed Amendments to FINRA Rule 3240
Following up on a retrospective review launched in 2019, FINRA [...]