Automatic Lock-In to ADF Disabled
Firms that use the Alternative Display Facility (ADF) to report [...]
28
10, 2016
27
10, 2016
Financial Exploitation of Specified Adults
FINRA recently filed proposed new regulations regarding broker-dealer compliance with [...]
20
10, 2016
MSRB Revises Content Outline for Series 50 Exam
In June 2016, the Municipal Securities Rulemaking Board (MSRB) filed [...]
18
10, 2016
Is a Series 24 Required to Own a BD?
The question of who is required to have an active [...]
20
09, 2016
FINRA Rule 3240: Can My Client Fund My Vacation?
In our modernized world of peer-to-peer lending, where pulling a [...]
19
09, 2016
SEC Approves Rule Set for Capital Acquisition Brokers
The SEC recently approved FINRA’s proposed rule change to adopt [...]
19
09, 2016
SEC Rule 17a-4: Electronic Storage Media
Under certain conditions, a broker-dealer may maintain and preserve records [...]
13
09, 2016
Outside Business Activities (OBAs) Disclosure Obligations
In accordance with FINRA Rule 3270, all registered persons must [...]
9
09, 2016
FINRA Rule 3110(e): Form U4 Verification Process
In our August 31 post about FINRA Rule 3110(e) (Supervision: [...]
8
09, 2016
FINRA Rule 3210: Accounts at other Broker-Dealers and Financial Institutions
The SEC recently approved FINRA’s proposed rule change to adopt [...]