Supervision Relief Related to COVID-19 Pandemic
FINRA Rule 3110 Supervision requires a firm to establish and [...]
22
04, 2020
3
04, 2020
Teleworking Considerations During COVID-19 Pandemic
Many financial service institutions have been hesitant to create teleworking [...]
18
12, 2019
Annual Compliance Requirements: Year-End Priorities
It’s that time of the year again! As the fourth [...]
9
09, 2019
Compliance, Supervision, and Disclosures
Beginning in 2017, the United States Security and Exchange Commission [...]
17
06, 2019
Supervisory Responsibilities – NASD Guidance
If you are a broker dealer or a supervisor at [...]
20
06, 2016
FINRA Rule 3110: Supervision
Last month, Stephens Inc. was censured by FINRA and fined [...]