Reporting And Inquiry for Lost, Counterfeit, Missing, and Stolen Securities
SEC Rule 17f-1 calls for the SEC or its designee, [...]
18
02, 2022
11
02, 2022
The 5% Rule (FINRA Rule 2121)
FINRA Rule 2121, also known as the 5% rule or [...]
14
01, 2022
Fidelity Bond Requirements (FINRA Rule 4360)
FINRA Rule 4360 requires each member firm to join the [...]
7
01, 2022
Spinning
Spinning is the practice of allocating highly sought-after IPO shares, [...]
31
12, 2021
Carrying Agreements
Most broker-dealers rely on another member firm to provide clearing, [...]
10
12, 2021
FinCEN’s New AML/CFT Priorities
In October 2021, FINRA released Regulatory Notice 21-36 discussing the [...]
26
11, 2021
FINRA’s Changes to Continuing Education
FINRA has adopted important changes to its continuing education (CE) [...]
19
11, 2021
Upcoming Payment Deadlines for 2022 Renewals
This is a reminder that December 13, 2021, is the [...]
29
10, 2021
FINRA Annual Registration Renewal Calendar
This blog serves as a reminder of important dates related [...]
22
10, 2021
1017 Change in Membership Review
In our 1017 Change in Membership blog we discussed events [...]