FINRA Rule 3310: Anti-Money Laundering Compliance Program
FINRA Rule 3310 sets forth minimum standards for the required [...]
4
10, 2018
23
08, 2018
FINRA Enhances Disclosure Review Process
As I’m sure you already know from reading our previous [...]
26
07, 2018
Cryptocurrency and The Securities Industry
Cryptocurrency (also spelled crypto currency) is everyone’s new favorite hot [...]
19
07, 2018
Form U10 and TESS (Test Enrollment Services System)
Since our last post about Form U10, FINRA has implemented [...]
12
07, 2018
Cybersecurity Programs Remain a Priority in 2018
Cybersecurity programs remain a significant priority for financial services industry [...]
23
05, 2018
Crowdfunding: Funding Portal Registration – Part II
[Continued from Crowdfunding: Funding Portal Registration – Part I] Funding [...]
23
05, 2018
Crowdfunding: Funding Portal Registration – Part I
Title III of the Jumpstart Our Business Startups (JOBS) Act, [...]
15
05, 2018
Registering as a Capital Acquisition Broker (CAB)
A Capital Acquisition Broker (CAB) is a firm that engages [...]
6
04, 2018
OBAs & PSTs: FINRA Seeks Comment on Proposed Rule
Last spring, FINRA began a review of its rules regarding [...]
13
12, 2017
The DOL’s Fiduciary Rule Transition Period Extended 18 Months
As you may recall, the Fiduciary Rule’s BIC Exemption and [...]