Safeguarding Client Information
With the transition into the electronic storage of client data, [...]
20
09, 2019
30
08, 2019
Regulation Best Interest and CRS Relationship Summary
In June, the U.S. Securities and Exchange Commission (SEC) passed [...]
31
07, 2019
On-Site Due Diligence for Product Sponsors
Thanks to technology, a majority of the gathering and reviewing [...]
17
07, 2019
AML Podcast Released by FINRA – Unscripted
During April and May 2019, FINRA introduced a new AML [...]
26
06, 2019
OBAs and PSTs – FINRA’s Proposed Rule Change
In May of 2017, FINRA released a Retrospective Rule Review [...]
17
06, 2019
Supervisory Responsibilities – NASD Guidance
If you are a broker dealer or a supervisor at [...]
14
05, 2019
Imposter Websites Reported by Member Firms
FINRA has recently received notice from several FINRA member firms [...]
25
04, 2019
Expense Sharing with Third Parties for B/Ds
Expense sharing agreements between broker-dealers and third parties are a [...]
29
11, 2018
Quantitative Suitability – FINRA Rule 2111
Welcome to the third and final part in our series [...]
28
11, 2018
Customer-Specific Suitability-FINRA Rule 2111
This post is the second in our three-part series on [...]