Audit Preparations for FINOPs
For a broker dealer, there’s a single word that is [...]
28
05, 2024
7
05, 2024
Compliance Challenges for FINOPs
In today’s ever-evolving broker dealer environment, a Financial and Operations [...]
5
12, 2022
Electronic and Technology Takeaways from SEC’s Billion Dollar Penalties
On September 22, 2022, the Securities and Exchange Commission announced [...]
15
11, 2022
Key Steps for Starting a Broker-Dealer
Individuals and companies desire to start a broker-dealer for many [...]
29
07, 2022
What’s ‘New’ about the SEC’s New Marketing Rule for Investment Advisers?
Marketing and advertising in the mid-20th Century was very different [...]
25
02, 2022
SEC Rule 17f-2: Fingerprinting Of Securities Industry Personnel
Under SEC Rule 17F-2, every member of a national securities [...]
18
02, 2022
Reporting And Inquiry for Lost, Counterfeit, Missing, and Stolen Securities
SEC Rule 17f-1 calls for the SEC or its designee, [...]
21
01, 2022
Rule 147 Offerings
Rule 147, also known as the intrastate offering exemption, allows [...]
12
07, 2021
Investment Adviser Marketing Rule
Effective May 4, 2021, the SEC’s recently adopted amendment to [...]
23
06, 2021
Gifts and Gratuities
Advisory representatives are prohibited from accepting anything of value that [...]