Latest FINRA Stories
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.
17a-4 offers half off their e-Disclaimer service or included with any purchase of the DataParser until the end of the year.
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
ARLINGTON HEIGHTS, Ill., Oct. 1, 2014 /PRNewswire/ -- Capital Forensics, Inc.
SEC and FINRA regulations require that financial institutions retain communications with their customers.
FINRA Rule 2211 relates to institutional sales material and correspondence including supervision and review requirements and standards for recordkeeping and content.
American Homeowner Preservation Founder and CEO Jorge Newbery moderated the SEC/FINRA & Selling Regulations Panel at IMN’s Crowdfunding Forum for Real Estate Chicago,
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
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.
- The act of sweetening by admixture of some saccharine substance.