Fidelity Bond Requirements (FINRA Rule 4360)
FINRA Rule 4360 requires each member firm to join the [...]
14
01, 2022
7
01, 2022
Spinning
Spinning is the practice of allocating highly sought-after IPO shares, [...]
31
12, 2021
Carrying Agreements
Most broker-dealers rely on another member firm to provide clearing, [...]
24
12, 2021
Proposed Amendments to FINRA Rule 3240
Following up on a retrospective review launched in 2019, FINRA [...]
17
12, 2021
Annual Compliance Meeting (ACM)
FINRA Rule 3110(a)(7) requires all registered representatives and registered principals [...]
10
12, 2021
FinCEN’s New AML/CFT Priorities
In October 2021, FINRA released Regulatory Notice 21-36 discussing the [...]
3
12, 2021
FINRA Report Filing Due Dates for 2022
FINRA recently released a notice about 2022 and first quarter [...]
26
11, 2021
FINRA’s Changes to Continuing Education
FINRA has adopted important changes to its continuing education (CE) [...]
19
11, 2021
Upcoming Payment Deadlines for 2022 Renewals
This is a reminder that December 13, 2021, is the [...]
29
10, 2021
FINRA Annual Registration Renewal Calendar
This blog serves as a reminder of important dates related [...]