Blog Archives for tag mitch atkins finra

FINRA Controls and Conflicts – Six Questions from FINRA’s Chairman and CEO

The topic of FINRA controls testing requirements often comes up on the context of broker-dealer consulting, particularly because there is… Continue reading »

Who Must be Fingerprinted at a FINRA Broker-Dealer?

The question of who must be fingerprinted at a FINRA dealer is one that often comes up in questions from… Continue reading »

FINRA’s ‘5% Rule’ Regarding Markups

FINRA Rule 2121 governs markups in securities transactions. The rule requires that a FINRA member buy or sell a security… Continue reading »

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 »

FINOP News – FINRA South Region Compliance Seminar

November 21, 2014   FINRA Financial and Operations Update The FINRA South Region Compliance Seminar was held on November 20… Continue reading »

SEC Rule 17a-4 – An Old Rule in a New World

Electronic Recordkeeping and FINRA Email Retention Requirements – SEC Rule 17a-4(f) The electronic recordkeeping requirements for broker-dealers are spelled out… Continue reading »