Private Placement Filing Requirements under FINRA Rule 5123
In recent years, FINRA has enacted new rules regarding private [...]
23
08, 2016
18
08, 2016
Private Placement Filing Requirements Under FINRA Rule 5122
In recent years, FINRA has enacted new rules regarding private [...]
29
07, 2016
FINRA Rule 2210 and Debt Research Reports
FINRA has recently made several changes to FINRA Rule 2210 [...]
28
06, 2016
Interim Restriction on Continuing Membership Application
The FINRA journey of changes in ownership and control for [...]
23
06, 2016
Customer Identification Program (CIP) – Part II
We have updated this post! We are leaving this post [...]
23
06, 2016
Customer Identification Program (CIP) – Part I
We have updated this post! We are leaving this post [...]
16
06, 2016
FINRA’s Conferences for Fall 2016
FINRA offers securities and compliance professionals valuable education and training [...]
13
06, 2016
Continuing Membership Application
Initially, when a firm receives FINRA approval to become a [...]
10
06, 2016
2016 Broker-Dealer Training Considerations
Annual broker-dealer training should be derived from relevant regulatory and/or [...]
8
06, 2016
Continuing Education at Testing Centers
FINRA has established a Web-based delivery method for completing the [...]