Communication Recordkeeping in the Day of the Hybrid Workforce
All broker dealers have recordkeeping obligations required by Rule 17a-4(b)(4) [...]
31
05, 2023
26
06, 2020
Code of Ethics Concerns During COVID-19 and Beyond
COVID-19 has bought a “new normal”. From stay-at-home orders and [...]
3
04, 2020
Teleworking Considerations During COVID-19 Pandemic
Many financial service institutions have been hesitant to create teleworking [...]
22
02, 2017
FINRA Requests Comment on Rules Governing Communications with the Public
FINRA recently published a Regulatory Notice to announce that it [...]
7
09, 2016
Utilization of Social Media in the Securities Industry
In today’s culture, the utilization of social media for business [...]
18
07, 2016
FINRA Rule 2210: Communications
As should be expected, broker dealers are not free to [...]
20
06, 2016
FINRA Rule 3110: Supervision
Last month, Stephens Inc. was censured by FINRA and fined [...]