Registering as a Capital Acquisition Broker (CAB)
A Capital Acquisition Broker (CAB) is a firm that engages [...]
15
05, 2018
3
01, 2018
What is Form U5 and What is it used for?
The Form U5 is the Uniform Termination Notice for Securities [...]
21
12, 2017
What is Form U4 and What Sections are on it?
Form U4 is the Uniform Application for Securities Industry Registration [...]
13
10, 2017
What is the SIE Exam?
As mentioned in our previous post, What is on the [...]
21
09, 2017
How to Become an RIA
A registered investment advisor (“RIA”) is a person or firm [...]
5
09, 2017
What is on the Series 7 exam?
The financial services industry is heavily regulated. In order to [...]
28
03, 2017
Rule change related to Registration and Continuing Education
As summarized below, FINRA recently filed with the SEC a [...]
10
02, 2017
Submitting Fingerprints to FINRA
As a broker-dealer compliance company, we are often consulted about [...]
29
01, 2017
Important Annual Regulatory Certifications – Rule 4517
FINRA Rule 4517 – Member Filing and Contact Information Requirements [...]
18
10, 2016
Is a Series 24 Required to Own a BD?
The question of who is required to have an active [...]