FINRA Rule 2111 – Suitability in Broker Dealer Relationships
Being a broker dealer in today’s environment is a complicated [...]
2
11, 2023
24
06, 2022
Merrill Mutual Fund Enforcement Lessons Learned
FINRA (Financial Industry Regulatory Authority) announced on June 2, 2022 [...]
16
07, 2021
FINRA’s New And Improved Fund Analyzer Tool
FINRA has recently given us all a new and improved [...]
30
06, 2021
Regulators Focus on Reg BI During 2021 Audits
The Securities and Exchange Commission adopted a new rule under [...]
12
05, 2021
Share Class Selection
Advisers have a fiduciary obligation to recommend a share class [...]
8
02, 2021
Acting in the Best Interest of Your Elderly Clients
As the baby boomer generation reaches retirement age, regulators have [...]
20
04, 2020
AML and Suitability Challenges During COVID-19
FINRA Rule 3310 provides broker-dealer guidance on how to design, [...]