Retail Communications Archives - Master Compliance

24 02, 2021

FINRA’s Top Priorities for 2021
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FINRA’s Top Priorities for 2021
Broker-Dealer, Communications, Cybersecurity, FINRA, Form CRS, Registered Investment Advisers, Regulation Best Interest, Retail Communications, Rules and Regulations, Variable Annuities

FINRA’s Top Priorities for 2021

By admin|2021-02-24T09:58:16-05:00February 24, 2021|Broker-Dealer, Communications, Cybersecurity, FINRA, Form CRS, Registered Investment Advisers, Regulation Best Interest, Retail Communications, Rules and Regulations, Variable Annuities|

Early in the year, FINRA released their 2021 Report on [...]

20 01, 2021

FINRA’s Proposed Change to Rules 5122 and 5123
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FINRA’s Proposed Change to Rules 5122 and 5123
Broker-Dealer, Communication, Communications, Filing Requirements, FINRA, Private Placements, Retail Communications, Rules and Regulations, SEC, Social Media, Supervision

FINRA’s Proposed Change to Rules 5122 and 5123

By admin|2021-01-20T13:52:43-05:00January 20, 2021|Broker-Dealer, Communication, Communications, Filing Requirements, FINRA, Private Placements, Retail Communications, Rules and Regulations, SEC, Social Media, Supervision|

On October 28, 2020, FINRA filed a proposed rule change [...]