FINRA Notice 21-03: Low-Priced Securities Fraud
FINRA released regulatory notice 21-03, FINRA Urges Firms to Review [...]
15
03, 2021
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 [...]
1
10, 2020
AML and Branch Audits in the Time of COVID-19
At the beginning of the year, FINRA released important updates [...]
15
09, 2020
Cybersecurity in the Time of COVID-19
For many firms, a remote workforce is now a new [...]
26
06, 2020
Code of Ethics Concerns During COVID-19 and Beyond
COVID-19 has bought a “new normal”. From stay-at-home orders and [...]
11
06, 2020
Compliance Surveillance Trends During COVID-19
The messages are clear. Sales practice concerns, fraud, and operational [...]
6
05, 2020
Regulatory Exam Preparedness and COVID-19
Your firm is beginning to get in the groove since [...]
1
05, 2020
Communications Surveillance Challenges While Teleworking
As firms continue executing work from home policies, they should [...]
29
04, 2020
Highlights from FINRA Small Firm Conference Call: Part 2
Earlier this month, FINRA hosted a Small Firm Conference Call [...]