FINRA Rule 3110 Amendment Proposals
The Financial Industry Regulatory Authority (“FINRA”) Rule 3110 gives explicit [...]
20
06, 2023
17
12, 2021
Annual Compliance Meeting (ACM)
FINRA Rule 3110(a)(7) requires all registered representatives and registered principals [...]
30
10, 2020
Supervisory Control: The Basics of Rule 3120
Most broker-dealers are aware of their annual requirement to test [...]
28
10, 2020
Supervision of Supervisory Personnel
FINRA Rule 3110 provides the requirements for building and maintaining [...]
6
03, 2020
Annual Compliance Meeting: A Retrospective Review
FINRA initiated a retrospective review of the annual compliance meeting [...]
23
08, 2018
FINRA Enhances Disclosure Review Process
As I’m sure you already know from reading our previous [...]
9
09, 2016
FINRA Rule 3110(e): Form U4 Verification Process
In our August 31 post about FINRA Rule 3110(e) (Supervision: [...]
31
08, 2016
Background Checks – FINRA Rule 3110
FINRA Rule 3110(e) (Supervision: Responsibility of Member Firms to Investigate [...]
20
06, 2016
FINRA Rule 3110: Supervision
Last month, Stephens Inc. was censured by FINRA and fined [...]