FINOP Archives - Page 2 of 2 - MasterCompliance

FINRA Report Filing Due Dates for 2021

Posted on December 17, 2020 by SCM Communications

FINRA recently released a notice about 2021 and first quarter of 2022 FINRA Report Filing Due Dates to assist members in their financial reporting obligations for Annual Report, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filings.

Expense Sharing with Third Parties for B/Ds

Posted on April 25, 2019September 24, 2019 by SCM Communications

Expense sharing agreements between broker-dealers and third parties are a hot topic for FINRA and the SEC. Firms and their FINOPs should fully understand the guidelines provided within Notice to Members 03-63.