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Branch Office (37)
Your search for Branch Office returned 37 results.
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10/11/2018 | Content area: Investment Adviser
To Sam Edwards, it takes few words to explain how Dallas-based WFG Advisors perished after 15 years, landing in bankruptcy court where former clients ...
8/16/2018 | Content area: Broker-Dealer
The number of FINRA-registered brokerage firms and the registered reps working for them have continued their steady decline. The sobering statistics c...
4/12/2018 | Content area: Broker-Dealer
A targeted FINRA examination sweep—the first announced by the SRO for 2018—will focus on broker-dealers’ supervisory controls tied to products linked ...
2/22/2018 | Content area: Broker-Dealer
A FINRA proposal giving broker-dealers the flexibility to conduct remote inspections of “qualifying offices” is getting qualified support from your pe...
12/21/2017 | Content area: Broker-Dealer
Cybersecurity is one of the top risks facing broker-dealers, according to a new report on FINRA examination findings released Dec. 8 by the SRO (BD Wa...
11/16/2017 | Content area: Broker-Dealer
In a nod to advances in communications technology, increased acceptance of flexible work arrangements and the costs affixed to on-site inspections of ...
9/28/2017 | Content area: Investment Adviser
Mike Lundy had run Primerica Financial Service’s office in Rapid City, S.D., for so long that it could have been assumed that everything was hunky-dor...
9/28/2017 | Content area: Investment Adviser
Alaric Compliance Services (www.alariccomliance.com) shares this Excel spreadsheet checklist to help you monitor your firm's branch offices.
1/05/2017 | Content area: Investment Adviser
If your firm is following the trend of more IAs opening up branch offices, you’re advised to develop compliance P&Ps for monitoring the locations.    ...
1/03/2017 | Content area: Investment Adviser
Staff intends to focus on registered investment advisers that provide advisory services from multiple locations. The examinations will focus on evalua...
8/18/2016 | Content area: Broker-Dealer
FINRA has been doing a lot more exams of branch offices (IA Watch, June 16, 2016). Here are some tips on how you can survive the scrutiny.   For start...
8/11/2016 | Content area: Investment Adviser | Broker-Dealer
It can be difficult enough to sense that you have a good handle on compliance issues in your office, let alone to know what’s going on at distant bran...
8/03/2016 | Content area: Broker-Dealer
A peer shares a template for auditing a branch office.
8/03/2016 | Content area: Investment Adviser | Broker-Dealer
A peer passes on the firm's checklist for inspecting its branch offices
8/03/2016 | Content area: Investment Adviser | Broker-Dealer
A peer shares a template used to inspect both a B-D and an IA branch office.
8/02/2016 | Content area: Investment Adviser | Broker-Dealer
A peer passes on a checklist the firm's B-D uses to inspect branch offices for compliance.
6/16/2016 | Content area: Broker-Dealer
FINRA is increasingly targeting branch-office inspections. The topic ranked fourth in a discussion of “Top Regulatory Concerns” at the SRO’s recent an...
2/23/2016 | Content area: Broker-Dealer
A manipulative trading scheme to artificially inflate the market price and trading volume for the common shares of IceWEB has led to the barring from ...
9/17/2015 | Content area: Broker-Dealer
You could see this one coming.  Back in its 2014 Regulatory and Examination Priorities Letter, FINRA signaled that it would be expanding its “high-ris...
8/27/2015 | Content area: Broker-Dealer
An SEC examination of 10 broker-dealer branch offices that distribute structured securities products shows B-Ds have work to do when it comes to the i...


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