Broker Dealer Advertising
Has your broker dealer investigated using advertising materials in order [...]
25
10, 2023
1
05, 2020
Communications Surveillance Challenges While Teleworking
As firms continue executing work from home policies, they should [...]
22
04, 2020
Supervision Relief Related to COVID-19 Pandemic
FINRA Rule 3110 Supervision requires a firm to establish and [...]
15
12, 2017
FINRA Rule 2210 and Social Networking Websites
FINRA Rule 2210 requires that firms retain records of communications [...]
17
11, 2016
Communications with the Public – Part II
[Continued from Communications with the Public – Part I] Investment [...]
17
11, 2016
Communications with the Public – Part I
In April 2014, FINRA began a review of its communications [...]
3
06, 2016
BrokerCheck Link Requirements
The SEC recently approved amendments to FINRA Rule 2210 (Communications [...]