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Core Compliance’s Latest RMU: Valuation – What Investment Advisers Should Know

Last month, Core Compliance & Legal Services, Inc. (“Core Compliance”) published its monthly Risk Management Update (“RMU”), written by Managing Director, Consultation Services, Tina Mitchell. Ms. Mitchell’s RMU, titled Valuation – What Investment Advisers Should Know, provides an overview of … Read More

FINRA Expungement Rule Approved by SEC

This week Financial Industry Regulatory Authority’s (“FINRA’s”) Rule 2081 (“the Rule”) was approved by the Securities and Exchange Commission (“SEC”). The Rule will prohibit the expungement of customer complaints, due to agreed-upon settlements with customers, through the Central Registration Depository … 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Financial Industry Regulatory Authority (“FINRA”) Board of Governors meeting held on February 13, 2014, a previously withdrawn rule change proposal was revived that would require brokerage firms to incorporate a link to “BrokerCheck” on their public websites and … Read More

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