Capital Requirements for Broker Dealers
Broker dealers play a vital role in the financial markets [...]
25
06, 2024
4
06, 2024
Questions for any Third Party FINOP Service Provider
Per the National Association of Securities Dealers (“NASD”) Rule 1022, [...]
28
05, 2024
Audit Preparations for FINOPs
For a broker dealer, there’s a single word that is [...]
21
05, 2024
Ethical Considerations for FINOP’s
Ethical Considerations for FINOP’s In the financial services industry, the [...]
14
05, 2024
FINOP Training and Professional Development
FINOP Training and Professional Development Financial and Operations Principals (“FINOPS”) [...]
7
05, 2024
Compliance Challenges for FINOPs
In today’s ever-evolving broker dealer environment, a Financial and Operations [...]
8
09, 2023
The Ultimate Solution for Compliance Management
It has been an exciting year for Securities Compliance Management [...]
19
12, 2022
Financial Reporting for Broker Dealers
Financial Reporting for Broker Dealers. When you decide to enter [...]
23
11, 2022
Let’s Talk Aggregate Indebtedness
Every broker dealer has at least one thing in common [...]
3
11, 2022
Notice to Members 06-23 & Your Firm’s Annual FINOP Review
Back in the early 2000’s, FINRA (then known as the NASD) came out with Notice to Members 06-23 (“Notice”). This Notice goes into detail about the responsibilities of the FINOP. Whether your FINOP is employed full-time in-house or is outsourced, the Notice applies. There are further considerations for the FINOP if the role is outsourced.