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Anti-Money Laundering Programs: Is Your Broker-Dealer Complying?

Over the past year, there has been an increased focus on Broker-Dealer Anti-Money Laundering (“AML”) programs. Last month, Kevin Goodman, National Associate Director of the Broker-Dealer Examination Program in the Office of Compliance Inspections and Examinations (“OCIE”), spoke at the … Read More

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

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