FINRA Membership Interview – Part I
So, you’ve decided to start or own a broker-dealer. You [...]
25
10, 2016
21
10, 2016
FINRA Begins Publishing ATS Block Trade Data
FINRA has expanded its alternative trading system (ATS) transparency initiative. [...]
19
10, 2016
New Product Considerations for Broker-Dealers
What do you do when you add a new product [...]
18
10, 2016
Is a Series 24 Required to Own a BD?
The question of who is required to have an active [...]
14
10, 2016
Firm Element Advisory Posted
FINRA Rule 1250(b) discusses FINRA’s Firm Element continuing education requirements. [...]
21
09, 2016
What Is Form U10 And Why Do I Need It?
Note: With the implementation of the Test Enrollment Services System [...]
20
09, 2016
FINRA Rule 3240: Can My Client Fund My Vacation?
In our modernized world of peer-to-peer lending, where pulling a [...]
19
09, 2016
SEC Approves Rule Set for Capital Acquisition Brokers
The SEC recently approved FINRA’s proposed rule change to adopt [...]
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 [...]