Compliance Challenges for FINOPs
In today’s ever-evolving broker dealer environment, a Financial and Operations [...]
7
05, 2024
7
12, 2023
Regulation BI and Real-World Enforcement
When the Financial Industry Regulatory Authority (“FINRA”) initially proposed the [...]
17
11, 2023
Rule 4111 Restricted Broker-dealer Obligations and Heightened Supervision
While the subject matters of FINRA Rule 4111 and heightened [...]
2
11, 2023
FINRA Rule 2111 – Suitability in Broker Dealer Relationships
Being a broker dealer in today’s environment is a complicated [...]
25
10, 2023
Broker Dealer Advertising
Has your broker dealer investigated using advertising materials in order [...]
17
10, 2023
Initial Public Offerings and New Issues
Trust and transparency are the cornerstones of the financial industry. [...]
16
08, 2023
FINRA Encryption Best Practices
Twenty years ago, when all of us worked in the [...]
20
06, 2023
FINRA Rule 3110 Amendment Proposals
The Financial Industry Regulatory Authority (“FINRA”) Rule 3110 gives explicit [...]
13
06, 2023
Anti-Money Laundering Compliance
Anti-Money Laundering Compliance
31
05, 2023
Communication Recordkeeping in the Day of the Hybrid Workforce
All broker dealers have recordkeeping obligations required by Rule 17a-4(b)(4) [...]