Compliance Challenges for FINOPs
In today’s ever-evolving broker dealer environment, a Financial and Operations [...]
7
05, 2024
27
06, 2023
Form CRS Observations
Broker dealers, specifically the Chief Compliance Officer (“CCO”), are required [...]
23
06, 2023
Exam Observations for New Firms
In March 2023, the Securities and Exchange Commission (“SEC”) released [...]
5
12, 2022
Electronic and Technology Takeaways from SEC’s Billion Dollar Penalties
On September 22, 2022, the Securities and Exchange Commission announced [...]
29
07, 2022
What’s ‘New’ about the SEC’s New Marketing Rule for Investment Advisers?
Marketing and advertising in the mid-20th Century was very different [...]
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 [...]
18
02, 2022
Reporting And Inquiry for Lost, Counterfeit, Missing, and Stolen Securities
SEC Rule 17f-1 calls for the SEC or its designee, [...]
21
01, 2022
Rule 147 Offerings
Rule 147, also known as the intrastate offering exemption, allows [...]
14
07, 2021
Cybersecurity Exam Observations and Effective Practices
Cybersecurity remains one of the principal operational risks facing broker-dealers [...]