FINRA’S EXAMINATION FINDINGS
Recently, the Financial Industry Regulatory Authority (“FINRA”) released a report [...]
27
12, 2017
15
12, 2017
FINRA Rule 2210 and Social Networking Websites
FINRA Rule 2210 requires that firms retain records of communications [...]
10
12, 2017
Regulation D Exemptions
Regulation D, established by the Securities and Exchange Commission, provides [...]
8
12, 2017
Change to Definition of Qualified Client
The Securities and Exchange Commission (“SEC”) recently announced an upcoming [...]
8
12, 2017
FINRA Rule 2273-Recruitment Practices
FINRA has long been concerned with practices used by broker-dealers [...]
29
11, 2017
New Anti-Money Laundering Program Requirements
Recently, the Financial Crimes Enforcement Network (“FinCEN”) adopted a final [...]
10
11, 2017
Pay-to-Play: Capital Acquisition Brokers
Earlier this year, FINRA began accepting applications for firms wishing [...]
9
11, 2017
Financial Exploitation of Seniors
FINRA has announced new rules relating to the financial exploitation [...]
20
10, 2017
Customer Complaints in the Social Media Era – FINRA Rule 4530
As technology continues to advance, the Financial Industry Regulatory Authority [...]
12
10, 2017
FINRA Rule 3120: Supervisory Control System
Supervisory System A firm’s supervisory system serves as its foundation [...]