Annual Compliance Meeting (ACM)
FINRA Rule 3110(a)(7) requires all registered representatives and registered principals [...]
17
12, 2021
10
12, 2021
FinCEN’s New AML/CFT Priorities
In October 2021, FINRA released Regulatory Notice 21-36 discussing the [...]
26
11, 2021
FINRA’s Changes to Continuing Education
FINRA has adopted important changes to its continuing education (CE) [...]
19
11, 2021
Upcoming Payment Deadlines for 2022 Renewals
This is a reminder that December 13, 2021, is the [...]
29
10, 2021
FINRA Annual Registration Renewal Calendar
This blog serves as a reminder of important dates related [...]
22
10, 2021
1017 Change in Membership Review
In our 1017 Change in Membership blog we discussed events [...]
15
10, 2021
1017 Material Change Determination
When a member intends to add a line of business, [...]
8
10, 2021
1017 Change in Membership
The Firm should review areas of its business to determine [...]
10
09, 2021
Personal Trade Reviews
Citigroup Global Markets Inc. was recently censured and fined $350,000.00 [...]
3
09, 2021
FINRA’s New Supplemental Liquidity Schedule (SLS)
FINRA has established a new Supplemental Liquidity Schedule (SLS). The [...]