Supervisory Control: The Basics of Rule 3120
Most broker-dealers are aware of their annual requirement to test [...]
30
10, 2020
16
06, 2020
Annual Certification of Compliance Processes
FINRA Rule 3130 serves as an annual requirement to focus [...]
22
04, 2020
Supervision Relief Related to COVID-19 Pandemic
FINRA Rule 3110 Supervision requires a firm to establish and [...]
3
03, 2020
Our Top Six Most Popular Blog Posts
MasterCompliance continues to provide clients and the public with guidance on [...]
19
06, 2017
FINRA RULE 3130 (ANNUAL CERTIFICATION OF COMPLIANCE AND SUPERVISORY PROCESSES)
FINRA Rule 3130 (formerly known as NASD Rule 3013) requires [...]