Annual Compliance

Annual Compliance Requirements: Year-End Priorities

It’s that time of the year again! As the fourth quarter ticks by, we have compiled a helpful end of year to-do list to aid small broker-dealers in addressing and closing out important annual compliance requirements.

Read More…

Firm Element Training, AML Training, & Annual Compliance Meeting

Is your firm trying to figure out how to accomplish compliance with mandatory training requirements before the year ends?  MasterCompliance can help you with your training needs.  FINRA rules dictate that all member firms provide adequate training for its registered representatives and principals on an annual basis.  At a minimum, Firms must provide firm element training (FINRA Rule 1250(b)), anti-money laundering training (FINRA Rule 3310(e)), and hold an annual compliance meeting (FINRA Rule 3110(a)(7)).  The purpose of firm element training is to keep registered Read More…