Investment Advisor Representative Registration
Individuals looking to be in the business of giving investment [...]
12
02, 2021
10
02, 2021
FINRA Rule 3241: Registered Person as Customer’s Beneficiary
On October 29, 2020 FINRA released a regulatory notice detailing [...]
8
02, 2021
Acting in the Best Interest of Your Elderly Clients
As the baby boomer generation reaches retirement age, regulators have [...]
1
02, 2021
SEC Rule to Allow for the Use Electronic Signatures
The SEC recently adopted a rule change to allow for [...]
29
01, 2021
Our Top 5 Blogs of 2020
MasterCompliance continues to provide clients and the public with guidance [...]
19
01, 2021
Updates to Form CRS in 2020 (Part 1)
The SEC released updates to Form CRS in 2020 with [...]
15
12, 2020
UTMA and UGMA Custodial Accounts
Uniform Transfers to Minors Act (UTMA) and Uniform Gifts to [...]
6
11, 2020
Tools to Conquer Compliance Program Challenges
Compliance responsibilities grow with every passing year. New regulatory mandates, [...]
4
11, 2020
Investment Advisers Act: Know the Rules or Pay the Price
Knowing firm requirements as set forth in the Investment Advisers [...]
15
10, 2020
Why Small Firms Need Compliance Program Assessments
With the rise in new regulations, small firms generally experience [...]