Branch Office

The branch inspection process is a critical component of a comprehensive risk management program and can help protect investors and the interests of the firm. ...

There's no standard definition to distinguish independent contractors from "employees" and the interpretation can vary depending on what entity is making the decision. The IRS ...

A look at the B-D protocol

The fate of former vFinance COO/CCO Richard Campanella rests in the hands of the Commission after an appeal last week of an administrative law judge's ...

This Notice is intended to specify minimum supervisory standards for branch offices and guaranteed IBs. A failure to adhere to the requirements specified in this ...