Monthly Archives: December 2014

FINRA Rules for Handling Customer Checks

Most FINRA broker-dealers operate pursuant to an exemption from SEC Rule 15c3-3 (the Customer Protection Rule). This rule requires that… Continue reading »

FINRA BD Branch Offices in Executive Suites? Absolutely.

These days, it is not unusual for a registered representative of a brokerage firm, or any other small business owner… Continue reading »

FINRA Anti-Money Laundering Independent Testing

It is the time of year when many broker-dealers are scheduling their annual independent test of their anti-money laundering programs…. Continue reading »

FINRA Compliance When Customers are Hunting for Yield

Today, December 1, 2014, a quick check of the web shows that the national average rate for a one year… Continue reading »