FINRA Rule 2273-Recruitment Practices
FINRA has long been concerned with practices used by broker-dealers [...]
8
12, 2017
9
08, 2017
Large Trader – Rule 13h-1 (Part 1)
Rule 13h-1 helps the SEC identify and obtain trading information [...]
7
08, 2017
Annual Reviews – SEC Rule 206(4)-7
SEC Rule 206(4)-7 requires investment advisers to review, no less [...]
7
07, 2017
SEC Releases New RIA Form ADV Filing Requirements Effective October 2017
Securities and Exchange Commission (SEC) adopted amendments to Investment Advisers [...]
3
07, 2017
2017 Examination Priorities for RIA’s and BD’s
The Office of Compliance Inspections and Examinations (“OCIE”) of the [...]
30
06, 2017
FINRA Updates Private Placement Filer Form Pursuant to FINRA Rules 5122 and 5123
FINRA has updated the form that firms must use to [...]
28
06, 2017
Regulatory Notice 16-39: Trade Reporting and Compliance Engine (TRACE)
In 2001, the Securities and Exchange Commission approved the Trade [...]
22
06, 2017
Reminder: Testing ORF and ADF Changes for Trade Reporting and T+2 Settlement
In accordance with the industry-led initiative to shorten the settlement [...]
19
06, 2017
FINRA RULE 3130 (ANNUAL CERTIFICATION OF COMPLIANCE AND SUPERVISORY PROCESSES)
FINRA Rule 3130 (formerly known as NASD Rule 3013) requires [...]
14
06, 2017
Rule 4530 Product and Problem Codes and Filing Application Form to reflect changes related to the DOL’s fiduciary rule
FINRA announced that it has revised the Rule 4530 (Reporting [...]