Order Audit Trail System (OATS)
Established by FINRA, the Order Audit Trail System (OATS), is [...]
27
07, 2017
21
07, 2017
FinCEN vs. OFAC
What is the difference between FinCEN and OFAC? Both organizations [...]
19
06, 2017
FINRA RULE 3130 (ANNUAL CERTIFICATION OF COMPLIANCE AND SUPERVISORY PROCESSES)
FINRA Rule 3130 (formerly known as NASD Rule 3013) requires [...]
16
06, 2017
FINRA Rule 3210 (Accounts at Other Broker-Dealers and Financial Institutions)
FINRA Rule 3210 (Accounts at Other Broker-Dealers and Financial Institutions), [...]
20
12, 2016
Broker-Dealer Compliance: Changes in Business
Running a broker-dealer is not an easy task. Firms must [...]
28
10, 2016
Automatic Lock-In to ADF Disabled
Firms that use the Alternative Display Facility (ADF) to report [...]
25
10, 2016
FINRA Membership Interview – Part II
[Continued from FINRA Membership Interview – Part I] What happens [...]
25
10, 2016
FINRA Membership Interview – Part I
So, you’ve decided to start or own a broker-dealer. You [...]
21
10, 2016
FINRA Begins Publishing ATS Block Trade Data
FINRA has expanded its alternative trading system (ATS) transparency initiative. [...]
19
10, 2016
New Product Considerations for Broker-Dealers
What do you do when you add a new product [...]