FINRA’s Top Priorities for 2021
Early in the year, FINRA released their 2021 Report on [...]
24
02, 2021
22
02, 2021
Changes to The Definition of Accredited Investor
The changes to the definition of “Accredited Investor” that the [...]
10
02, 2021
FINRA Rule 3241: Registered Person as Customer’s Beneficiary
On October 29, 2020 FINRA released a regulatory notice detailing [...]
8
02, 2021
Acting in the Best Interest of Your Elderly Clients
As the baby boomer generation reaches retirement age, regulators have [...]
19
01, 2021
Updates to Form CRS in 2020 (Part 1)
The SEC released updates to Form CRS in 2020 with [...]
17
12, 2020
FINRA Report Filing Due Dates for 2021
FINRA recently released a notice about 2021 and first quarter [...]
19
11, 2020
Order Routing and The Price of Non-Disclosure
In May of this year, the SEC fined Bloomberg Tradebook [...]
16
11, 2020
FINRA Rule 3210: Accounts At Other Financial Institutions
On April 3, 2017, FINRA Rule 3210 for Accounts At [...]
30
10, 2020
Supervisory Control: The Basics of Rule 3120
Most broker-dealers are aware of their annual requirement to test [...]
28
10, 2020
Supervision of Supervisory Personnel
FINRA Rule 3110 provides the requirements for building and maintaining [...]