Form U4 Disclosure Reporting Best Practices to Protect You and Your Firm
The U4, also known as the Uniform Application for Securities [...]
22
03, 2022
4
03, 2022
Amendments to FINRA Rules for Security-Based Swaps
In an effort to clarify the rules regarding security-based swaps [...]
25
02, 2022
SEC Rule 17f-2: Fingerprinting Of Securities Industry Personnel
Under SEC Rule 17F-2, every member of a national securities [...]
11
02, 2022
The 5% Rule (FINRA Rule 2121)
FINRA Rule 2121, also known as the 5% rule or [...]
4
02, 2022
Office of Supervisory Jurisdiction (OSJ)
An Office of Supervisory Jurisdiction (OSJ) is an office identified [...]
21
01, 2022
Rule 147 Offerings
Rule 147, also known as the intrastate offering exemption, allows [...]
14
01, 2022
Fidelity Bond Requirements (FINRA Rule 4360)
FINRA Rule 4360 requires each member firm to join the [...]
7
01, 2022
Spinning
Spinning is the practice of allocating highly sought-after IPO shares, [...]
31
12, 2021
Carrying Agreements
Most broker-dealers rely on another member firm to provide clearing, [...]
24
12, 2021
Proposed Amendments to FINRA Rule 3240
Following up on a retrospective review launched in 2019, FINRA [...]