BD Latest News

B-Ds supervisory systems and WSPs will be examined
Merely reciting the applicable rules heads the list
he aim is a more secure CAT, operating without sensitive PII
The start of equities and options reporting has commenced
FAQ tackles how new realities play with rules pertaining to gifts and entertainment
Fraudsters are using the names of registered reps to establish imposter websites
A portion of the website links to an illegitimate registration site
The serves to remind that compliance staff have a role in the entire process of statutory disqualification
AML compliance staffing since increased by "many dozens"
The December 2021 phase-out date has FINRA cautioning on need for preparation
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