Reasonable-Basis Suitability – FINRA Rule 2111
Although suitability is a well-established principle within the securities industry, [...]
26
11, 2018
15
10, 2018
Customer Identification Program (CIP): Definitions and Requirements – Part II
[Continued from Customer Identification Program (CIP): Definitions and Requirements – [...]
15
10, 2018
Customer Identification Program (CIP): Definitions and Requirements – Part I
Customer Identification Program A broker-dealer must establish, document, and maintain [...]
4
10, 2018
FINRA Rule 3310: Anti-Money Laundering Compliance Program
FINRA Rule 3310 sets forth minimum standards for the required [...]
20
09, 2018
Private Placement Basics – Part I
Broker-dealers that are active in the sale or solicitation of [...]
23
08, 2018
FINRA Enhances Disclosure Review Process
As I’m sure you already know from reading our previous [...]
19
07, 2018
Form U10 and TESS (Test Enrollment Services System)
Since our last post about Form U10, FINRA has implemented [...]
15
05, 2018
Registering as a Capital Acquisition Broker (CAB)
A Capital Acquisition Broker (CAB) is a firm that engages [...]
6
04, 2018
OBAs & PSTs: FINRA Seeks Comment on Proposed Rule
Last spring, FINRA began a review of its rules regarding [...]
5
02, 2018
FINRA’s 2017 Examination Findings
Recently, the Financial Industry Regulatory Authority (“FINRA”) released its 2018 [...]