Is a Series 24 Required to Own a BD?
The question of who is required to have an active [...]
18
10, 2016
14
10, 2016
Firm Element Advisory Posted
FINRA Rule 1250(b) discusses FINRA’s Firm Element continuing education requirements. [...]
21
09, 2016
What Is Form U10 And Why Do I Need It?
Note: With the implementation of the Test Enrollment Services System [...]
20
09, 2016
FINRA Rule 3240: Can My Client Fund My Vacation?
In our modernized world of peer-to-peer lending, where pulling a [...]
19
09, 2016
SEC Rule 17a-4: Electronic Storage Media
Under certain conditions, a broker-dealer may maintain and preserve records [...]
9
09, 2016
FINRA Rule 3110(e): Form U4 Verification Process
In our August 31 post about FINRA Rule 3110(e) (Supervision: [...]
31
08, 2016
Background Checks – FINRA Rule 3110
FINRA Rule 3110(e) (Supervision: Responsibility of Member Firms to Investigate [...]
15
07, 2016
Beneficial Ownership Requirements for Legal Entity Customers
On May 11, 2016, the Financial Crimes Enforcement Network (FinCEN) [...]
23
06, 2016
Customer Identification Program (CIP) – Part II
We have updated this post! We are leaving this post [...]
23
06, 2016
Customer Identification Program (CIP) – Part I
We have updated this post! We are leaving this post [...]