Branch Office

The impetus is growing belief B-Ds will continue to conduct business remotely

A peer shares the firm's branch office checklist and audit report template

A peer shares the firm's checklist for branch office inspections

An excel spreadsheet courtesy of Alaric Compliance Services

Besides bringing us an even year, January also will introduce the NFA’s biggest revision to its branch office supervision rule in 20 years.   The ...

The potential liability of compliance officers may be waning, but there are still some egregious cases where mischief leads to deep trouble for a compliance ...

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 are ...

The number of FINRA-registered brokerage firms and the registered reps working for them have continued their steady decline. The sobering statistics come from the SRO’s ...

A targeted FINRA examination sweep—the first announced by the SRO for 2018—will focus on broker-dealers’ supervisory controls tied to products linked to the Chicago Board ...

A FINRA proposal giving broker-dealers the flexibility to conduct remote inspections of “qualifying offices” is getting qualified support from your peers. Their question: Good start, ...