Reasonable-Basis Suitability – FINRA Rule 2111
Although suitability is a well-established principle within the securities industry, [...]
26
11, 2018
9
11, 2018
2019 FINRA Renewal Program for BDs and RIAs
The 2019 FINRA Renewal Program for Broker-Dealers, Investment Adviser Firms, [...]
7
11, 2018
SEC Adopts Amendments to Rule 15c2-12 to Improve Municipal Securities Disclosure
In August 2018, the U.S. Securities and Exchange Commission (the [...]
19
10, 2018
Customer Identification Program (CIP): Common Questions – Part II
[Continued from Customer Identification Program (CIP): Common Questions – Part [...]
19
10, 2018
Customer Identification Program (CIP): Common Questions – Part I
In our previous post on customer identification programs, “Customer Identification [...]
15
10, 2018
Customer Identification Program (CIP): Definitions and Requirements – Part II
[Continued from Customer Identification Program (CIP): Definitions and Requirements – [...]
15
10, 2018
Customer Identification Program (CIP): Definitions and Requirements – Part I
Customer Identification Program A broker-dealer must establish, document, and maintain [...]
12
10, 2018
RegTech: Regulatory Intelligence & Risk Management and Assessment
This blog post is the third and final entry in [...]
10
10, 2018
RegTech: Customer Identification and AML Compliance
Welcome to the second part of our three-part series on [...]
8
10, 2018
RegTech: Surveillance and Monitoring
In an effort to keep current with regulatory compliance requirements, [...]