SEC Rule 17f-2: Fingerprinting Of Securities Industry Personnel
Under SEC Rule 17F-2, every member of a national securities [...]
Under SEC Rule 17F-2, every member of a national securities [...]
FINRA Rule 2121, also known as the 5% rule or [...]
An Office of Supervisory Jurisdiction (OSJ) is an office identified [...]
MasterCompliance continues to provide clients and the public with guidance [...]
FINRA Rule 4360 requires each member firm to join the [...]
Spinning is the practice of allocating highly sought-after IPO shares, [...]
Most broker-dealers rely on another member firm to provide clearing, [...]
Following up on a retrospective review launched in 2019, FINRA [...]
FINRA Rule 3110(a)(7) requires all registered representatives and registered principals [...]
In October 2021, FINRA released Regulatory Notice 21-36 discussing the [...]