Customer Complaints (FINRA Rule 4513)
FINRA Rule 4513 defines a "customer complaint" as any grievance [...]
6
05, 2022
29
04, 2022
Outside Business Activity Disclosure Form Best Practices
When creating an outside business activity (“OBA”) disclosure form, it's [...]
22
04, 2022
NASAA Reveals Top Investor Threats for 2022
On January 10, 2022 the North American Securities Administrators Association [...]
15
04, 2022
FINRA Announces Rule 4111 (Restricted Firm Obligations) Evaluation Date
In an Information Notice released February 1, 2022, FINRA announced [...]
8
04, 2022
2022 & 2023 Continuing Education Requirements for IARs
In November of 2020, the North American Securities Administrators Association [...]
1
04, 2022
Changes to FINRA Rule 2165: Financial Exploitation of Specified Adults
FINRA has adopted amendments to Rule 2165 (Financial Exploitation of [...]
25
03, 2022
Considerations for FinCEN 314(a) Policies and Procedures
The Financial Crimes Enforcement Network (FinCEN) is a program under [...]
22
03, 2022
Form U4 Disclosure Reporting Best Practices to Protect You and Your Firm
The U4, also known as the Uniform Application for Securities [...]
4
03, 2022
Amendments to FINRA Rules for Security-Based Swaps
In an effort to clarify the rules regarding security-based swaps [...]
25
02, 2022
SEC Rule 17f-2: Fingerprinting Of Securities Industry Personnel
Under SEC Rule 17F-2, every member of a national securities [...]