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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.
See FINRA's Books and Records Requirements Checklist for Broker-Dealers. Call us if you need assistance navigating your next FINRA exam.
SEC continues to impose major fines in connection with inadequate AML compliance, citing that a cut-and-paste approach to meeting the requirements is not an option.
