It is critical for broker dealer supervisory personnel to stay mindful of fingerprint records for non-registered associated persons.
Expense Sharing Agreements are one of the most important regulatory concepts in the broker dealer and investment advisory world. Here’s a quick refresher.
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.
See FINRA's Books and Records Requirements Checklist for Broker-Dealers. Call us if you need assistance navigating your next FINRA exam.
