1017 Material Change Determination
When a member intends to add a line of business, [...]
15
10, 2021
8
10, 2021
1017 Change in Membership
The Firm should review areas of its business to determine [...]
24
09, 2021
Website Reviews
Firms should have appropriately established controls for review, approval, and [...]
10
09, 2021
Personal Trade Reviews
Citigroup Global Markets Inc. was recently censured and fined $350,000.00 [...]
3
09, 2021
FINRA’s New Supplemental Liquidity Schedule (SLS)
FINRA has established a new Supplemental Liquidity Schedule (SLS). The [...]
27
08, 2021
Supervising Vendors
FINRA recently released Regulatory Notice 21-29 regarding a broker-dealer's obligation [...]
30
07, 2021
FINRA Adopts Rules to Further Restrict Brokers with Disclosures
FINRA uses a combination of tools to reduce the risk [...]
23
07, 2021
FINRA’s Change to Rules 5122 and 5123
On July 15, 2021, FINRA released Regulatory Notice 21-26 announcing [...]
16
07, 2021
FINRA’s New And Improved Fund Analyzer Tool
FINRA has recently given us all a new and improved [...]
14
07, 2021
Cybersecurity Exam Observations and Effective Practices
Cybersecurity remains one of the principal operational risks facing broker-dealers [...]