FINRA Proposal to Enhance Continuing Education
The Securities Industry/Regulatory Council on Continuing Education (CE Council) recently [...]
20
03, 2020
16
03, 2020
SEC Enforcement Actions: Key Takeaways for 2020
Enforcement actions can be scary, especially if you or your [...]
11
03, 2020
Examination and Risk Monitoring: What to Expect in 2020
FINRA recently released a podcast called “What to Expect: The [...]
3
03, 2020
Our Top Six Most Popular Blog Posts
MasterCompliance continues to provide clients and the public with guidance on [...]
20
02, 2020
FINRA Disciplinary Actions from January 2020
The Monthly Disciplinary and Other FINRA Actions report from January [...]
13
02, 2020
Annual Training Considerations for Broker/Dealers
It’s 2020 and as the new year rolls in, so [...]
27
12, 2019
Electronic Storage Requirements: Is Your Firm Ready to Go Paperless?
Is your small broker-dealer drowning in boxes and boxes of [...]
18
12, 2019
Annual Compliance Requirements: Year-End Priorities
It’s that time of the year again! As the fourth [...]
1
11, 2019
Digital Communications: 2019 FINRA Report
In the recent “2019 Report on FINRA Examination Findings and [...]
17
10, 2019
Senior Investors: Protecting the Client
Today, investment advisers and broker-dealers face many challenges when providing [...]