FINRA Membership Interview Archives - Master Compliance

25 10, 2016

FINRA Membership Interview – Part II

By admin|2016-10-25T15:52:06-04:00October 25, 2016|Broker-Dealer, Broker-Dealer Ownership, FINRA, Rules and Regulations|

[Continued from FINRA Membership Interview – Part I] What happens [...]

25 10, 2016

FINRA Membership Interview – Part I

By admin|2016-10-25T15:47:30-04:00October 25, 2016|Broker-Dealer, Broker-Dealer Ownership, FINRA, Rules and Regulations|

So, you’ve decided to start or own a broker-dealer. You [...]