FINRA Rule 3220: The Gifts Rule FINRA Rule 3220, also known as the Gifts Rule, prohibits the use of giving gifts and entertainment... READ MORE
Ready for the Switch to FINRA APIs? We’ve Got You Covered! As FINRA phases out WebEFT, financial institutions face the daunting task of migrating to FINRA's... READ MORE
FINRA’s 2025 Oversight Report Highlights AML, OBAs & Third-Party Risk The Financial Industry Regulatory Authority (FINRA) has released its 2025 Annual Regulatory... READ MORE
Now's the Time to Plan for FINRA Renewals Firms are required to renew the FINRA and state/jurisdiction registrations of their registered reps... READ MORE
FINRA Priorities Include Conflicts of Interest and Communications The 2024 FINRA Annual Regulatory Oversight Report provides firms with insight into findings from... READ MORE
Optimal Outside Business Activities Compliance Goes Beyond Disclosures It’s 4PM on a Friday. You were hoping to wrap up for the day to start your weekend, but there’s a... READ MORE
FINRA Guidance on the Supervision of Independent Contractors Many of the firms that I work with, both large and small, work with representatives that are... READ MORE
Compliance Predictions and Pressing Questions for 2021 During the webinar A Compliance Officer’s Crystal Ball – One Practitioner’s Predictions for 2021,... READ MORE
Pay-to-Play Compliance Key in Record Breaking Election Cycle The Federal Election Commission (FEC) recently released their Statistical Summary of 18-Month... READ MORE
