It’s 2020 and as the new year rolls in, so does annual training planning. Rule 3110(a)(7) requires each Registered Person to participate, at least annually, in an interview or meeting which discusses compliance matters relevant to their activities. Read More…
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.
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…