9/21/2017
FINRA and the SEC have simultaneously released FAQs tied to rule 4210 and Exchange Act rules 15c3-1 (net capital rule) and 15c3-3 (customer protection...
9/14/2017
Staff at C.L. King & Associates, a New York-based broker-dealer, knew that the unidentified hedge fund manager who opened joint accounts with terminal...
9/07/2017
As part of its stepped-up scrutiny of high-risk brokers, FINRA is preparing new guidance on what firms should be doing to exercise heightened supervis...
© 2017 Simplify Compliance. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US