Cybersecurity and Financial Services
The Growing Importance of Cybersecurity for Broker Dealers and RIAs [...]
15
07, 2024
1
09, 2022
PTE and IRA Rollover Recommendation Considerations
U.S. Department of Labor’s ("DOL") recently published final prohibited transaction [...]
29
07, 2022
What’s ‘New’ about the SEC’s New Marketing Rule for Investment Advisers?
Marketing and advertising in the mid-20th Century was very different [...]
22
04, 2022
NASAA Reveals Top Investor Threats for 2022
On January 10, 2022 the North American Securities Administrators Association [...]
19
11, 2021
Upcoming Payment Deadlines for 2022 Renewals
This is a reminder that December 13, 2021, is the [...]
24
09, 2021
Website Reviews
Firms should have appropriately established controls for review, approval, and [...]
10
09, 2021
Personal Trade Reviews
Citigroup Global Markets Inc. was recently censured and fined $350,000.00 [...]
27
08, 2021
Supervising Vendors
FINRA recently released Regulatory Notice 21-29 regarding a broker-dealer's obligation [...]
13
08, 2021
New York IAR Registration Waiver Deadline Reminder
This blog is a follow up to our Change to [...]
16
07, 2021
FINRA’s New And Improved Fund Analyzer Tool
FINRA has recently given us all a new and improved [...]