Cybersecurity Programs Remain a Priority in 2018
Cybersecurity programs remain a significant priority for financial services industry [...]
12
07, 2018
23
05, 2018
Crowdfunding: Funding Portal Registration – Part II
[Continued from Crowdfunding: Funding Portal Registration – Part I] Funding [...]
23
05, 2018
Crowdfunding: Funding Portal Registration – Part I
Title III of the Jumpstart Our Business Startups (JOBS) Act, [...]
15
05, 2018
Registering as a Capital Acquisition Broker (CAB)
A Capital Acquisition Broker (CAB) is a firm that engages [...]
16
04, 2018
FINRA Updates Anti-Money Laundering Template for Small Firms
Per the Bank Secrecy Act (BSA) and FINRA Rule 3310, [...]
6
04, 2018
OBAs & PSTs: FINRA Seeks Comment on Proposed Rule
Last spring, FINRA began a review of its rules regarding [...]
8
12, 2017
FINRA Rule 2273-Recruitment Practices
FINRA has long been concerned with practices used by broker-dealers [...]
10
11, 2017
Pay-to-Play: Capital Acquisition Brokers
Earlier this year, FINRA began accepting applications for firms wishing [...]
3
07, 2017
2017 Examination Priorities for RIA’s and BD’s
The Office of Compliance Inspections and Examinations (“OCIE”) of the [...]
30
06, 2017
FINRA Updates Private Placement Filer Form Pursuant to FINRA Rules 5122 and 5123
FINRA has updated the form that firms must use to [...]