FINRA Eliminates the Order Audit Trail System (OATS) Rules
Effective September 1, 2021, FINRA is amending its rulebook to [...]
2
07, 2021
30
06, 2021
Regulators Focus on Reg BI During 2021 Audits
The Securities and Exchange Commission adopted a new rule under [...]
28
06, 2021
How to Qualify for Puerto Rico’s Act 22
Also, Act 22, known as “The Individual Investors Act” targets [...]
16
06, 2021
Act 22: Puerto Rico Tax Incentives
In January of 2012, Puerto Rico passed legislation making it [...]
14
06, 2021
MSRB Reminders: Regulatory Exam Priorities
As part of its routine examinations, FINRA will often coordinate [...]
11
06, 2021
Arbitration Clauses
Recently FINRA released a Regulatory Notice reminding member firms that [...]
9
06, 2021
FINRA Highlights Changes To eFOCUS Reporting Requirements For SBS Dealers
In 2019, the Securities and Exchange Commission (SEC) adopted amendments [...]
4
06, 2021
Brokers with a Disclosure History
On March 10, FINRA issued Regulatory Notice 21-09 announcing FINRA’s [...]
24
05, 2021
How to Qualify for Puerto Rico’s Act 20
Act 20, known as the “Export Services Act”, provides tax [...]
19
05, 2021
Act 20: Puerto Rico Tax Incentives
In January of 2012, Puerto Rico passed legislation making it [...]