Author: Rochelle Truzzi, Senior Compliance Consultant
Compliance Programs | FINRA | FINRA Rules | Regulatory Filings
Broker Dealer Compliance “To Do” List for 2019
Photo by Darkmoon 1968 on Pixabay Updated January 10, 2019 Hardin Compliance Consulting compiled a list of regulatory requirements for broker-dealers. This list is not intended to be exhaustive, but…
Broker Dealer | Examinations and Audits | FINRA | FINRA Rules
Broker-Dealer To-Do List to Comply with FINRA Changes to Registration Rules
FINRA has implemented several new registration and designation requirements that member firms will need to address on October 1. See FINRA Regulatory Notice 17-30. The To-do List includes the following,…
Broker Dealer | Compliance Programs | FINRA Rules | Regulatory Filings
Broker-Dealer Compliance “To Do” List for 2018
1/16/2018 Customer Complaint Quarterly Statistical Summary: For complaints received during the 4th Quarter, 2017. FINRA Rule 4530 requires Firms to submit statistical and summary information regarding complaints received during the…
Advertising and Marketing Regulation | FINRA Rules
FINRA Provides Guidance on Social Media and Business Communications
FINRA issued Regulatory Notice 17-18, which compliments previously issued Regulatory Notices 10-06 and 11-39, by providing additional guidance on the application of FINRA Rule 2210 (Communications with the Public) to…
Customer Protection | FINRA | FINRA Rules
FINRA Provides “Safe Harbor” for Firms for Dealing with Potential Exploitation of Vulnerable Clients
Effective February 5, 2018, new FINRA Rule 2165 will provide broker-dealers with a safe harbor by allowing them to place a temporary hold on disbursements of funds and/or securities from the…
Examinations and Audits | FINRA | Supervision
Protecting Seniors, High Risk Brokers and Excessive Trading Top FINRA’s 2017 Priorities List
In its Annual Regulatory and Exam Priorities for 2017, FINRA asserts that it “has enhanced its risk-based surveillance and examination program to apply a nationally consistent approach to identify and focus on material…
Advertising and Marketing Regulation | Disclosures | Regulatory Filings
FINRA Loosens Rules on Communications with Public
Contrary to the current trend of increasing regulation, the SEC recently approved some amendments to FINRA rules that will actually reduce some regulatory filings and disclosures for broker dealers. The…