FINRA Unscripted Podcast: Regulation Best Interest and Form CRS Two Years In
FINRA recently released a podcast Regulation Best Interest and Form [...]
15
07, 2022
24
06, 2022
Merrill Mutual Fund Enforcement Lessons Learned
FINRA (Financial Industry Regulatory Authority) announced on June 2, 2022 [...]
14
07, 2021
Cybersecurity Exam Observations and Effective Practices
Cybersecurity remains one of the principal operational risks facing broker-dealers [...]
19
10, 2020
FINRA Examination: How to Prepare
You get that call, and your heart drops. You knew [...]
6
05, 2020
Regulatory Exam Preparedness and COVID-19
Your firm is beginning to get in the groove since [...]
1
11, 2019
Digital Communications: 2019 FINRA Report
In the recent “2019 Report on FINRA Examination Findings and [...]
19
07, 2018
Form U10 and TESS (Test Enrollment Services System)
Since our last post about Form U10, FINRA has implemented [...]
5
02, 2018
FINRA’s 2017 Examination Findings
Recently, the Financial Industry Regulatory Authority (“FINRA”) released its 2018 [...]
18
10, 2016
Is a Series 24 Required to Own a BD?
The question of who is required to have an active [...]
21
09, 2016
What Is Form U10 And Why Do I Need It?
Note: With the implementation of the Test Enrollment Services System [...]