Becoming a Registered Broker Dealer
When a firm makes the decision to become a registered [...]
18
05, 2023
21
04, 2023
Annual Audit Season
When a broker dealer hears the words “annual audit season”, [...]
15
12, 2022
FINRA OFAC Search Tool Retiring
Financial Industry Regulatory Authority (“FINRA”) provides an OFAC search tool [...]
13
12, 2022
FINRA Enforcement: Bringing Cases Against Individual Brokers
On September 20th, FINRA released the podcast FINRA Enforcement: Bringing [...]
30
11, 2022
FINRA Unscripted Podcast: Membership Application Program – Reviewing and Approving Digital Asset Firms
This is a summary of a recent FINRA podcast on Membership Application Program.
23
11, 2022
Let’s Talk Aggregate Indebtedness
Every broker dealer has at least one thing in common [...]
15
11, 2022
Key Steps for Starting a Broker-Dealer
Individuals and companies desire to start a broker-dealer for many [...]
3
11, 2022
Notice to Members 06-23 & Your Firm’s Annual FINOP Review
Back in the early 2000’s, FINRA (then known as the NASD) came out with Notice to Members 06-23 (“Notice”). This Notice goes into detail about the responsibilities of the FINOP. Whether your FINOP is employed full-time in-house or is outsourced, the Notice applies. There are further considerations for the FINOP if the role is outsourced.
20
09, 2022
Regulatory Notice 22-12 TRACE Amendments
FINRA Adopts Amendments to TRACE Reporting Rule to Require Identification [...]
26
08, 2022
Regulatory Notice 22-18: Forgery and Falsification
Regulatory Notice 22-18 reminds firms of their rule obligation related [...]