Key Steps for Starting a Broker-Dealer
Individuals and companies desire to start a broker-dealer for many [...]
15
11, 2022
29
07, 2022
What’s ‘New’ about the SEC’s New Marketing Rule for Investment Advisers?
Marketing and advertising in the mid-20th Century was very different [...]
17
06, 2022
ESG Investing
ESG (Environmental, Social and Governance) products and financial services have [...]
4
03, 2022
Amendments to FINRA Rules for Security-Based Swaps
In an effort to clarify the rules regarding security-based swaps [...]
25
02, 2022
SEC Rule 17f-2: Fingerprinting Of Securities Industry Personnel
Under SEC Rule 17F-2, every member of a national securities [...]
18
02, 2022
Reporting And Inquiry for Lost, Counterfeit, Missing, and Stolen Securities
SEC Rule 17f-1 calls for the SEC or its designee, [...]
28
01, 2022
Our Top 5 Blogs of 2021
MasterCompliance continues to provide clients and the public with guidance [...]
21
01, 2022
Rule 147 Offerings
Rule 147, also known as the intrastate offering exemption, allows [...]
14
07, 2021
Cybersecurity Exam Observations and Effective Practices
Cybersecurity remains one of the principal operational risks facing broker-dealers [...]
12
07, 2021
Investment Adviser Marketing Rule
Effective May 4, 2021, the SEC’s recently adopted amendment to [...]