Annual Training Considerations for Broker/Dealers
It’s 2020 and as the new year rolls in, so [...]
13
02, 2020
27
12, 2019
Electronic Storage Requirements: Is Your Firm Ready to Go Paperless?
Is your small broker-dealer drowning in boxes and boxes of [...]
1
11, 2019
Digital Communications: 2019 FINRA Report
In the recent “2019 Report on FINRA Examination Findings and [...]
17
10, 2019
Senior Investors: Protecting the Client
Today, investment advisers and broker-dealers face many challenges when providing [...]
20
08, 2019
Custody of Cryptocurrency: Considerations for Broker-Dealers
It is evident that the U.S. Securities and Exchange Commission [...]
22
07, 2019
The Senior Safe Act: “Immunity” with Conditions
On May 23, 2019, the SEC, NASAA, and FINRA published [...]
17
07, 2019
AML Podcast Released by FINRA – Unscripted
During April and May 2019, FINRA introduced a new AML [...]
26
06, 2019
OBAs and PSTs – FINRA’s Proposed Rule Change
In May of 2017, FINRA released a Retrospective Rule Review [...]
17
06, 2019
Supervisory Responsibilities – NASD Guidance
If you are a broker dealer or a supervisor at [...]
14
05, 2019
Imposter Websites Reported by Member Firms
FINRA has recently received notice from several FINRA member firms [...]