Is a Series 24 Required to Own a BD?

The question of who is required to have an active FINRA Series 24 (General Securities Principal) registration is often not as easy to answer as you may think. As a broker-dealer compliance consulting specialist, we encounter this question from seasoned FINRA compliance veterans and new broker-dealers alike.

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Form U10

What Is Form U10 And Why Do I Need It?

Note: With the implementation of the Test Enrollment Services System (TESS), FINRA has stopped using Form U10. We are leaving this post up as to not disturb any saved links; however, please visit our more recent post, (Form U10 and TESS (Test Enrollment Services System), for current information on the topic.

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2016 Broker-Dealer Training Considerations

Annual broker-dealer training should be derived from relevant regulatory and/or industry focus areas. It is important to consider the current “hot topics” and implement appropriate training regarding the areas that would best mitigate risk when performing needs analysis and developing an annual broker-dealer training plan. Read More…