New Hire Forms Checklist for RIAs
When a registered investment adviser on boards a new registered [...]
20
04, 2021
17
03, 2021
Message Archiving
An important component of financial compliance for broker-dealers is establishing [...]
11
03, 2021
Cybersecurity Training for Employees
The Covid-19 Pandemic has affected everyone, forcing many to work [...]
11
03, 2021
COVID-19 and Fixed Income Update
FINRA Rule 2232 requires firms to provide retail customers with [...]
5
02, 2021
The SEC Rule Change to Advisor Marketing Rules
In mid-December, the SEC adopted an amended rule to the [...]
20
01, 2021
FINRA’s Proposed Change to Rules 5122 and 5123
On October 28, 2020, FINRA filed a proposed rule change [...]
1
09, 2020
Disclosures and Attestations for Associated Persons
Associated person disclosures and attestations are not a “one size [...]
1
11, 2019
Digital Communications: 2019 FINRA Report
In the recent “2019 Report on FINRA Examination Findings and [...]
15
12, 2017
FINRA Rule 2210 and Social Networking Websites
FINRA Rule 2210 requires that firms retain records of communications [...]