Background Checks Amendment to Supervision Rule Approved by FINRA, and Core Compliance’s RMU on Social Media Guidance for Broker-Dealers

The Financial Industry Regulatory Authority (“FINRA”) approved an amendment to its Supervision Rule that will require firms to perform background checks on applicants for registration, in an announcement made in an April 24, 2014 press release. These background checks would … Read More

FINRA Revives BrokerCheck Proposal

At the Financial Industry Regulatory Authority (“FINRA”) Board of Governors meeting held on February 13, 2014, a previously withdrawn rule change proposal was revived that would require brokerage firms to incorporate a link to “BrokerCheck” on their public websites and … Read More

Updates to Form PF

The list of reporting requirements for investment advisers (“IAs”) is constantly growing. As a joint initiative between the Securities and Exchange Commission (“SEC”) and the U.S. Commodity Futures Trading Commission (“CFTC”) under the U.S. Dodd-Frank legislation (“Dodd-Frank”), Form PF was … Read More

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