Compliance Challenges for FINOPs
In today’s ever-evolving broker dealer environment, a Financial and Operations [...]
7
05, 2024
7
12, 2023
Regulation BI and Real-World Enforcement
When the Financial Industry Regulatory Authority (“FINRA”) initially proposed the [...]
17
11, 2023
Rule 4111 Restricted Broker-dealer Obligations and Heightened Supervision
While the subject matters of FINRA Rule 4111 and heightened [...]
16
08, 2023
FINRA Encryption Best Practices
Twenty years ago, when all of us worked in the [...]
27
06, 2023
Form CRS Observations
Broker dealers, specifically the Chief Compliance Officer (“CCO”), are required [...]
20
06, 2023
FINRA Rule 3110 Amendment Proposals
The Financial Industry Regulatory Authority (“FINRA”) Rule 3110 gives explicit [...]
8
06, 2023
FINRA Audit Preparation
For the broker dealer, there are a few things that [...]
5
06, 2023
The Chief Compliance Officer
As with all career choices, there are some vital pieces [...]
31
05, 2023
Communication Recordkeeping in the Day of the Hybrid Workforce
All broker dealers have recordkeeping obligations required by Rule 17a-4(b)(4) [...]
23
05, 2023
Outsourced Compliance
Are there times when as a Financial Industry Regulatory Authority [...]