Registered Representatives Archives - Master Compliance

17 12, 2021

Annual Compliance Meeting (ACM)
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Annual Compliance Meeting (ACM)
Annual Compliance Meeting, Broker-Dealer, FINRA, Rules and Regulations

Annual Compliance Meeting (ACM)

By admin|2021-12-17T15:23:49-05:00December 17, 2021|Annual Compliance Meeting, Broker-Dealer, FINRA, Rules and Regulations|

FINRA Rule 3110(a)(7) requires all registered representatives and registered principals [...]

1 09, 2020

Disclosures and Attestations for Associated Persons

By admin|2020-09-01T16:25:34-04:00September 1, 2020|Broker-Dealer, Communication, FINRA, Rules and Regulations, Social Media, Supervision|

Associated person disclosures and attestations are not a “one size [...]

17 08, 2020

The Importance of Form U4 Disclosure Updates
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The Importance of Form U4 Disclosure Updates
Broker-Dealer, FINRA, Registrations, WebCRD/IARD

The Importance of Form U4 Disclosure Updates

By admin|2020-08-17T16:53:56-04:00August 17, 2020|Broker-Dealer, FINRA, Registrations, WebCRD/IARD|

Failure to timely update information on an individual form U4 [...]