Customer Complaints (FINRA Rule 4513)
FINRA Rule 4513 defines a "customer complaint" as any grievance [...]
6
05, 2022
29
04, 2022
Outside Business Activity Disclosure Form Best Practices
When creating an outside business activity (“OBA”) disclosure form, it's [...]
15
04, 2022
FINRA Announces Rule 4111 (Restricted Firm Obligations) Evaluation Date
In an Information Notice released February 1, 2022, FINRA announced [...]
1
04, 2022
Changes to FINRA Rule 2165: Financial Exploitation of Specified Adults
FINRA has adopted amendments to Rule 2165 (Financial Exploitation of [...]
22
03, 2022
Form U4 Disclosure Reporting Best Practices to Protect You and Your Firm
The U4, also known as the Uniform Application for Securities [...]
11
03, 2022
FINRA’s Top Priorities for 2022
Early in the year, FINRA released their 2022 Report on [...]
4
03, 2022
Amendments to FINRA Rules for Security-Based Swaps
In an effort to clarify the rules regarding security-based swaps [...]
25
02, 2022
SEC Rule 17f-2: Fingerprinting Of Securities Industry Personnel
Under SEC Rule 17F-2, every member of a national securities [...]
11
02, 2022
The 5% Rule (FINRA Rule 2121)
FINRA Rule 2121, also known as the 5% rule or [...]
4
02, 2022
Office of Supervisory Jurisdiction (OSJ)
An Office of Supervisory Jurisdiction (OSJ) is an office identified [...]