Safe Harbor Expansion
NASD Rule 1017 is FINRA’s rule related to events [...]
22
06, 2016
21
06, 2016
Due Diligence and Registered Representatives
The topic of due diligence is widely discussed regarding the [...]
20
06, 2016
FINRA Rule 3110: Supervision
Last month, Stephens Inc. was censured by FINRA and fined [...]
17
06, 2016
MSRB Rule G-18: Best Execution
MSRB Rule G-18, the new best-execution rule for municipal securities, [...]
16
06, 2016
FINRA’s Conferences for Fall 2016
FINRA offers securities and compliance professionals valuable education and training [...]
14
06, 2016
Regulation Crowdfunding – Part II
[Continued from Regulation Crowdfunding – Part I] Crowdfunding Requirements for [...]
13
06, 2016
Continuing Membership Application
Initially, when a firm receives FINRA approval to become a [...]
10
06, 2016
2016 Broker-Dealer Training Considerations
Annual broker-dealer training should be derived from relevant regulatory and/or [...]
6
06, 2016
Department of Labor Fiduciary Rule
A recently approved rule from the Department of Labor (“DOL”) [...]
3
06, 2016
Cybersecurity for Broker-Dealers
As technology continues to advance and broker-dealers become increasingly more [...]