Why Small Firms Need Compliance Program Assessments
With the rise in new regulations, small firms generally experience [...]
15
10, 2020
8
10, 2020
Best Practices for Outsourced Vendors
Does your firm know who its key outsourced vendors are? [...]
30
07, 2020
Mid-Year Compliance Budget Planning
Reviewing your current mid-year compliance budget plan and adjusting for [...]
8
04, 2020
Compliance and COVID-19: Opportunities for Growth
The spread of the COVID-19 pandemic has presented challenges for [...]
9
09, 2019
Compliance, Supervision, and Disclosures
Beginning in 2017, the United States Security and Exchange Commission [...]
17
06, 2019
Supervisory Responsibilities – NASD Guidance
If you are a broker dealer or a supervisor at [...]
25
02, 2019
Fraudulent Phishing Emails – A Warning from FINRA
FINRA warns member firms to be on the lookout for [...]
15
08, 2016
About Us: Full-Service Compliance Consulting Firm
Securities Compliance Management, Inc., also doing business as MasterCompliance, is [...]
14
06, 2016
Regulation Crowdfunding – Part II
[Continued from Regulation Crowdfunding – Part I] Crowdfunding Requirements for [...]
10
06, 2016
2016 Broker-Dealer Training Considerations
Annual broker-dealer training should be derived from relevant regulatory and/or [...]