FINRA Membership Interview – Part II
[Continued from FINRA Membership Interview – Part I] What happens [...]
25
10, 2016
25
10, 2016
FINRA Membership Interview – Part I
So, you’ve decided to start or own a broker-dealer. You [...]
18
10, 2016
Is a Series 24 Required to Own a BD?
The question of who is required to have an active [...]
14
10, 2016
Firm Element Advisory Posted
FINRA Rule 1250(b) discusses FINRA’s Firm Element continuing education requirements. [...]
20
09, 2016
FINRA Rule 3240: Can My Client Fund My Vacation?
In our modernized world of peer-to-peer lending, where pulling a [...]
19
09, 2016
SEC Approves Rule Set for Capital Acquisition Brokers
The SEC recently approved FINRA’s proposed rule change to adopt [...]
23
08, 2016
Private Placement Filing Requirements under FINRA Rule 5123
In recent years, FINRA has enacted new rules regarding private [...]
18
08, 2016
Private Placement Filing Requirements Under FINRA Rule 5122
In recent years, FINRA has enacted new rules regarding private [...]
23
06, 2016
Customer Identification Program (CIP) – Part II
We have updated this post! We are leaving this post [...]
23
06, 2016
Customer Identification Program (CIP) – Part I
We have updated this post! We are leaving this post [...]