Brokers with a Disclosure History
On March 10, FINRA issued Regulatory Notice 21-09 announcing FINRA’s adoption of new rules to address brokers with a disclosure history and the broker-dealers that employ them.
Tag: Materiality Consultation
New Product Considerations for Broker-Dealers
What do you do when you add a new product to your firm’s approved offering listing? How do your reps know that a new product has been added? Do your policies & procedures even address new products? What sort of training do you provide? Does your firm need to file a Continuing Membership Application (Form CMA)? As a compliance specialist for FINRA-registered broker-dealers, we encounter these type of questions from our clients on a regular basis, including FINRA, SEC, and MSRB compliance veterans.