Filing A Suspicious Activity Report (“SAR”)
The Financial Crimes Enforcement Network requires certain financial institutions to [...]
19
03, 2021
17
03, 2021
Message Archiving
An important component of financial compliance for broker-dealers is establishing [...]
11
03, 2021
Cybersecurity Training for Employees
The Covid-19 Pandemic has affected everyone, forcing many to work [...]
11
03, 2021
COVID-19 and Fixed Income Update
FINRA Rule 2232 requires firms to provide retail customers with [...]
3
03, 2021
Change to New York IAR Registration GalleryChange to New York IAR Registration
Continuing Education, Examinations, Exempt Reporting Adviser, Filing Requirements, FINRA, Investment Advisor Representative, NASAA, Registered Investment Advisers, Registrations, Rules and Regulations, Rules and Regulations, WebCRD/IARD
Change to New York IAR Registration
On December 1, 2020, the state of New York adopted [...]
1
03, 2021
Pros and Cons of Buying A Broker Dealer
Considerations for Buying a Broker Dealer If you find yourself [...]
26
02, 2021
Exclusions from the Definition of Investment Advisor
Previously we covered Investment Advisor Registration in our blog When [...]
10
02, 2021
FINRA Rule 3241: Registered Person as Customer’s Beneficiary
On October 29, 2020 FINRA released a regulatory notice detailing [...]
8
02, 2021
Acting in the Best Interest of Your Elderly Clients
As the baby boomer generation reaches retirement age, regulators have [...]
15
01, 2021
NASAA’s New Rule on IAR CE
The North American Securities Administrators Association ("NASAA") recently adopted a new rule that will require Investment Advisor Representatives ("IARs") to complete 12 credit hours of Continuing Education annually.