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finra
1 minute read
New and improved format streamlines guidance for compliance professionals
2 minute read
Given the ongoing uncertainties related to the pandemic, broker-dealer firms have been monitoring...
1 minute read
Sometimes gifts and entertainment may be acceptable and appreciated; however, for individuals...
5 minute read
Since the publication of our March 18, 2020 blog from Les Abromovitz – Coronavirus Pandemic Creates...
2 minute read
FINRA has put forth very recent Guidance for member firm broker-dealers, providing temporary relief...
2 minute read
In February 2020 FINRA published Regulatory Notice 20-05 requesting comments to their proposal to...
3 minute read
According to an Investment News article written by Mark Schoeff Jr. and posted on March 11, 2020,...
2 minute read
Ask people for a line from the Eagles song “Hotel California” and you can expect, “You can check...