CAT Archives - Master Compliance

11 03, 2022

FINRA’s Top Priorities for 2022
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FINRA’s Top Priorities for 2022
Broker-Dealer, Compliance Calendar, Examinations, Examinations, FINRA

FINRA’s Top Priorities for 2022

By admin|2022-03-11T10:05:11-05:00March 11, 2022|Broker-Dealer, Compliance Calendar, Examinations, Examinations, FINRA|

Early in the year, FINRA released their 2022 Report on [...]

2 07, 2021

FINRA Eliminates the Order Audit Trail System (OATS) Rules
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FINRA Eliminates the Order Audit Trail System (OATS) Rules
Broker-Dealer, FINRA, Rules and Regulations

FINRA Eliminates the Order Audit Trail System (OATS) Rules

By admin|2021-07-02T14:21:08-04:00July 2, 2021|Broker-Dealer, FINRA, Rules and Regulations|

Effective September 1, 2021, FINRA is amending its rulebook to [...]

24 02, 2021

FINRA’s Top Priorities for 2021
Gallery
FINRA’s Top Priorities for 2021
Broker-Dealer, Communications, Cybersecurity, FINRA, Form CRS, Registered Investment Advisers, Regulation Best Interest, Retail Communications, Rules and Regulations, Variable Annuities

FINRA’s Top Priorities for 2021

By admin|2021-02-24T09:58:16-05:00February 24, 2021|Broker-Dealer, Communications, Cybersecurity, FINRA, Form CRS, Registered Investment Advisers, Regulation Best Interest, Retail Communications, Rules and Regulations, Variable Annuities|

Early in the year, FINRA released their 2021 Report on [...]

2 12, 2016

Consolidated Audit Trail (CAT) Approved

By admin|2016-12-02T16:57:47-05:00December 2, 2016|Rules and Regulations, SEC|

The Securities and Exchange Commission (SEC) has approved a National [...]