Customer Identification Program “CIP”
Broker Dealers are faced with a number of demanding rules and regulations in the financial industry today.
2
05, 2023
13
12, 2022
FINRA Enforcement: Bringing Cases Against Individual Brokers
On September 20th, FINRA released the podcast FINRA Enforcement: Bringing [...]
5
12, 2022
Electronic and Technology Takeaways from SEC’s Billion Dollar Penalties
On September 22, 2022, the Securities and Exchange Commission announced [...]
30
11, 2022
FINRA Unscripted Podcast: Membership Application Program – Reviewing and Approving Digital Asset Firms
This is a summary of a recent FINRA podcast on Membership Application Program.
23
11, 2022
Let’s Talk Aggregate Indebtedness
Every broker dealer has at least one thing in common [...]
15
11, 2022
Key Steps for Starting a Broker-Dealer
Individuals and companies desire to start a broker-dealer for many [...]
26
10, 2022
The Outsourced FINOP
Running a broker dealer is an expensive task these days [...]
1
09, 2022
PTE and IRA Rollover Recommendation Considerations
U.S. Department of Labor’s ("DOL") recently published final prohibited transaction [...]
26
08, 2022
Regulatory Notice 22-18: Forgery and Falsification
Regulatory Notice 22-18 reminds firms of their rule obligation related [...]
19
08, 2022
Private Placement Best Practices from FINRA Disciplinary Actions
FINRA (Financial Industry Regulatory Authority) publishes a monthly review of [...]