Cybersecurity Training for Employees
The Covid-19 Pandemic has affected everyone, forcing many to work [...]
11
03, 2021
11
03, 2021
COVID-19 and Fixed Income Update
FINRA Rule 2232 requires firms to provide retail customers with [...]
10
02, 2021
FINRA Rule 3241: Registered Person as Customer’s Beneficiary
On October 29, 2020 FINRA released a regulatory notice detailing [...]
20
01, 2021
FINRA’s Proposed Change to Rules 5122 and 5123
On October 28, 2020, FINRA filed a proposed rule change [...]
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 [...]
1
10, 2020
AML and Branch Audits in the Time of COVID-19
At the beginning of the year, FINRA released important updates [...]
1
09, 2020
Disclosures and Attestations for Associated Persons
Associated person disclosures and attestations are not a “one size [...]
16
06, 2020
Annual Certification of Compliance Processes
FINRA Rule 3130 serves as an annual requirement to focus [...]
11
06, 2020
Compliance Surveillance Trends During COVID-19
The messages are clear. Sales practice concerns, fraud, and operational [...]