Our Top 5 Blogs of 2020
MasterCompliance continues to provide clients and the public with guidance [...]
29
01, 2021
20
01, 2021
FINRA’s Proposed Change to Rules 5122 and 5123
On October 28, 2020, FINRA filed a proposed rule change [...]
15
01, 2021
NASAA’s New Rule on IAR CE
The North American Securities Administrators Association ("NASAA") recently adopted a new rule that will require Investment Advisor Representatives ("IARs") to complete 12 credit hours of Continuing Education annually.
30
10, 2020
Supervisory Control: The Basics of Rule 3120
Most broker-dealers are aware of their annual requirement to test [...]
28
10, 2020
Supervision of Supervisory Personnel
FINRA Rule 3110 provides the requirements for building and maintaining [...]
22
10, 2020
Challenges with Outside Business Activity Disclosures
An outside business activity (“OBA”) is defined as a registered [...]
1
09, 2020
Disclosures and Attestations for Associated Persons
Associated person disclosures and attestations are not a “one size [...]
18
06, 2020
Third-Party Outsourcing Best Practices
Complete reliance on third-party outsourcing may negatively impact your compliance [...]
6
03, 2020
Annual Compliance Meeting: A Retrospective Review
FINRA initiated a retrospective review of the annual compliance meeting [...]
27
12, 2019
Electronic Storage Requirements: Is Your Firm Ready to Go Paperless?
Is your small broker-dealer drowning in boxes and boxes of [...]