June 17, 2024

New SEC Cybersecurity Rules: CCO Refresher for Broker Dealers, Investment Advisers and Transfer Agents

The Securities and Exchange Commission (SEC) voted to approve a new set of cybersecurity rules. Please see the below CCO Refresher.

Broker Dealer
April 10, 2024

CCO Refresher: FINRA Rule 8310 and Fingerprinting of Securities Industry Employees including Non-Registered Personnel

It is critical for broker dealer supervisory personnel to stay mindful of fingerprint records for non-registered associated persons.

Broker Dealer
March 20, 2024

Expense Sharing Agreements: Know the Fundamentals

Expense Sharing Agreements are one of the most important regulatory concepts in the broker dealer and investment advisory world. Here’s a quick refresher.

Private Funds
August 29, 2023

Rule 506 of Regulation D: 506(b) vs. 506(c) Funds

Rule 506 of Regulation D provides two distinct exemptions from registration for companies when they offer and sell securities. Be sure to understand the nuances.

Broker Dealer
August 8, 2023

Prepared For Your Next FINRA Exam?

See FINRA's Books and Records Requirements Checklist for Broker-Dealers. Call us if you need assistance navigating your next FINRA exam.