FINRA Audit Preparation
For the broker dealer, there are a few things that [...]
8
06, 2023
5
06, 2023
The Chief Compliance Officer
As with all career choices, there are some vital pieces [...]
23
05, 2023
Outsourced Compliance
Are there times when as a Financial Industry Regulatory Authority [...]
18
05, 2023
Becoming a Registered Broker Dealer
When a firm makes the decision to become a registered [...]
15
11, 2022
Key Steps for Starting a Broker-Dealer
Individuals and companies desire to start a broker-dealer for many [...]
22
10, 2021
1017 Change in Membership Review
In our 1017 Change in Membership blog we discussed events [...]
15
10, 2021
1017 Material Change Determination
When a member intends to add a line of business, [...]
8
10, 2021
1017 Change in Membership
The Firm should review areas of its business to determine [...]
1
03, 2021
Pros and Cons of Buying A Broker Dealer
Considerations for Buying a Broker Dealer If you find yourself [...]
8
06, 2020
Benefits of Purchasing a Broker-Dealer
MasterCompliance has been assisting clients with the purchase or sale [...]