finra

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FINRA Releases 2021 Report on Risk Monitoring + Examination Activities

New and improved format streamlines guidance for compliance professionals
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Best Practices for Remote Office Inspections

Given the ongoing uncertainties related to the pandemic, broker-dealer firms have been monitoring...
time 1 minute read

Who Doesn’t Love A Gift?

Sometimes gifts and entertainment may be acceptable and appreciated; however, for individuals...
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Coronavirus Pandemic – Compliance Challenges and Best Practices

Since the publication of our March 18, 2020 blog from Les Abromovitz – Coronavirus Pandemic Creates...
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CARES Act – FINRA Guidance Issued

FINRA has put forth very recent Guidance for member firm broker-dealers, providing temporary relief...
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What you Need to Know about FINRA’s CE Proposal

In February 2020 FINRA published Regulatory Notice 20-05 requesting comments to their proposal to...

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The content contained in this article is for informational use only and is not intended to be and is not a substitute for professional financial, tax or legal advice.