Using a compliance calendar, keeping WSPs current, and providing ongoing training are among the compliance tips suggested in the free, white paper Zero Deficiencies: Closing ...
Check whether your firm's procedures call for reps to provide a detailed account of their participation in private securities transactions, and make sure reps know ...
If you want to engage in mediation under the auspices of FINRA, the mediator you select will need to be either a FINRA-approved mediator, or ...
Not only do you face a big new fee if you want to file a Continuing Membership Application on July 23 or later, you'll also ...
The three candidates to fill the Small Firm seat on the FINRA Board of Governors are tapping into small broker-dealers' discontent with the self-regulatory organization.Key ...
The Bond Dealers of America has developed guidance to help firms that are members comply with the MSRB's new rule requiring underwriters of municipal securities ...
A California court recently upheld a FINRA arbitration panel's decision that an investor who filed an arbitration complaint against a broker-dealer pay the $136,000 in ...
You might want to double check that your policies and procedures to monitor reps' postings on social media sites don't run afoul of state and ...
The Connecticut Attorney General's office has reached an agreement with TD Ameritrade in which the firm will cooperate in a multi-state investigation of potential antitrust ...
A recent FINRAsettlement can be a good example to your reps of the personal hazard they face if they get caught selling away. The regulator ...