Quantcast

Latest FINRA Stories

2014-11-25 23:12:23

Not only do many types of SEC and FINRA documents have to be retained, but the review and evidence of the approval process must be retained as well.

2014-11-13 23:11:52

17a-4 offers half off their e-Disclaimer service or included with any purchase of the DataParser until the end of the year.

2014-10-15 23:13:25

As it becomes ever more difficult for compliance officers to monitor and reports their compliance activities, 17a-4, llc has bundled a number of its compliance services together into the 17a-4

2014-10-01 08:38:14

ARLINGTON HEIGHTS, Ill., Oct. 1, 2014 /PRNewswire/ -- Capital Forensics, Inc.

2014-09-30 23:22:12

SEC and FINRA regulations require that financial institutions retain communications with their customers.

2014-09-18 23:11:06

FINRA Rule 2211 relates to institutional sales material and correspondence including supervision and review requirements and standards for recordkeeping and content.

2014-09-10 23:07:59

American Homeowner Preservation Founder and CEO Jorge Newbery moderated the SEC/FINRA & Selling Regulations Panel at IMN’s Crowdfunding Forum for Real Estate Chicago,

2014-04-25 12:23:59

LOS ANGELES, April 25, 2014 /PRNewswire/ -- LA-based Internet radio and digital broadcast platform StationDigital Corporation (OTCQB: ALDV) today announced it has engaged Monarch Bay Securities

2014-04-07 23:27:12

FastProxy provides advanced functionality for a wave of emerging pre-trade risk challenges presented by increased scrutiny on broker to broker risk compliance and new proposed wash sale requirements.


Word of the Day
edulcoration
  • The act of sweetening by admixture of some saccharine substance.
The word 'edulcoration' comes from a Latin word meaning 'making sweet'.