FINRA Eliminates the Order Audit Trail System (OATS) Rules
Effective September 1, 2021, FINRA is amending its rulebook to [...]
2
07, 2021
30
06, 2021
Regulators Focus on Reg BI During 2021 Audits
The Securities and Exchange Commission adopted a new rule under [...]
11
06, 2021
Arbitration Clauses
Recently FINRA released a Regulatory Notice reminding member firms that [...]
9
06, 2021
FINRA Highlights Changes To eFOCUS Reporting Requirements For SBS Dealers
In 2019, the Securities and Exchange Commission (SEC) adopted amendments [...]
29
03, 2021
Brochure Delivery Requirements
Part 2A of the Form ADV requires advisers to create [...]
22
03, 2021
Form ADV
Form ADV is the uniform form used by investment advisers [...]
19
03, 2021
Filing A Suspicious Activity Report (“SAR”)
The Financial Crimes Enforcement Network requires certain financial institutions to [...]
17
03, 2021
Message Archiving
An important component of financial compliance for broker-dealers is establishing [...]
15
03, 2021
FINRA Notice 21-03: Low-Priced Securities Fraud
FINRA released regulatory notice 21-03, FINRA Urges Firms to Review [...]
3
03, 2021
Change to New York IAR Registration GalleryChange to New York IAR Registration
Continuing Education, Examinations, Exempt Reporting Adviser, Filing Requirements, FINRA, Investment Advisor Representative, NASAA, Registered Investment Advisers, Registrations, Rules and Regulations, Rules and Regulations, WebCRD/IARD
Change to New York IAR Registration
On December 1, 2020, the state of New York adopted [...]