Digital Communications: 2019 FINRA Report
In the recent “2019 Report on FINRA Examination Findings and [...]
1
11, 2019
17
10, 2019
Senior Investors: Protecting the Client
Today, investment advisers and broker-dealers face many challenges when providing [...]
13
09, 2019
Principal and Agency Cross Trading
Investment Adviser Principal and Agency Cross Trading practices was the [...]
22
07, 2019
The Senior Safe Act: “Immunity” with Conditions
On May 23, 2019, the SEC, NASAA, and FINRA published [...]
17
07, 2019
AML Podcast Released by FINRA – Unscripted
During April and May 2019, FINRA introduced a new AML [...]
26
06, 2019
OBAs and PSTs – FINRA’s Proposed Rule Change
In May of 2017, FINRA released a Retrospective Rule Review [...]
17
06, 2019
Supervisory Responsibilities – NASD Guidance
If you are a broker dealer or a supervisor at [...]
25
04, 2019
Expense Sharing with Third Parties for B/Ds
Expense sharing agreements between broker-dealers and third parties are a [...]
29
11, 2018
Quantitative Suitability – FINRA Rule 2111
Welcome to the third and final part in our series [...]
28
11, 2018
Customer-Specific Suitability-FINRA Rule 2111
This post is the second in our three-part series on [...]