Supervisory Control: The Basics of Rule 3120
Most broker-dealers are aware of their annual requirement to test [...]
30
10, 2020
24
09, 2020
FINRA Continuing Membership Application (“CMA”)
When a broker-dealer implements a significant change in the strategies [...]
17
08, 2020
The Importance of Form U4 Disclosure Updates
Failure to timely update information on an individual form U4 [...]
18
06, 2020
Third-Party Outsourcing Best Practices
Complete reliance on third-party outsourcing may negatively impact your compliance [...]
16
06, 2020
Annual Certification of Compliance Processes
FINRA Rule 3130 serves as an annual requirement to focus [...]
8
06, 2020
Benefits of Purchasing a Broker-Dealer
MasterCompliance has been assisting clients with the purchase or sale [...]
28
05, 2020
Benefits of Starting a New Broker-Dealer
Since 2003, we have been assisting firms with starting new [...]
27
05, 2020
Regulation Best Interest: Examination Focus Areas
Last month, the SEC’s Office of Compliance Inspections and Examinations [...]
15
05, 2020
Disciplinary Actions by FINRA: April 2020
FINRA publishes a monthly review of disciplinary actions taken against [...]
29
04, 2020
Highlights from FINRA Small Firm Conference Call: Part 2
Earlier this month, FINRA hosted a Small Firm Conference Call [...]