Rule 13(f)
Institutional investment managers (“Managers”) must use Form 13F for reports [...]
17
05, 2021
30
04, 2021
Exclusions from Registration as an Agent
Agents are individuals in a sales capacity who represent broker-dealers [...]
23
04, 2021
Agent Registration Process
The USA defines an agent as any individual who represents [...]
22
03, 2021
Form ADV
Form ADV is the uniform form used by investment advisers [...]
19
03, 2021
Filing A Suspicious Activity Report (“SAR”)
The Financial Crimes Enforcement Network requires certain financial institutions to [...]
17
03, 2021
Message Archiving
An important component of financial compliance for broker-dealers is establishing [...]
15
03, 2021
FINRA Notice 21-03: Low-Priced Securities Fraud
FINRA released regulatory notice 21-03, FINRA Urges Firms to Review [...]
11
03, 2021
Cybersecurity Training for Employees
The Covid-19 Pandemic has affected everyone, forcing many to work [...]
11
03, 2021
COVID-19 and Fixed Income Update
FINRA Rule 2232 requires firms to provide retail customers with [...]
1
03, 2021
Pros and Cons of Buying A Broker Dealer
Considerations for Buying a Broker Dealer If you find yourself [...]