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By Ralph Magee
Stock exchange market concept, businessman trader looking on tablet with graphs analysis candle line in office room, diagrams on screen.
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Each year in what is now called its Oversight Report, FINRA lets the industry know its areas of focus when it comes to compliance. In this episode of the Oyster Stew podcast, Oyster Consulting’s compliance experts discuss areas where FINRA spends a lot of examination and enforcement resources – Communications and Sales. Listen as we […]
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What is FINRA Rule 3110? FINRA Rule 3110, one of FINRA’s most important rules and a rule that factors in nearly every one of its examinations, requires a member firm to establish and maintain a system to supervise the specific activities of its associated persons that is reasonably designed to achieve compliance with the applicable securities […]
Navigating Compliance as a Broker or Registered Rep As a broker or Registered Representative (“Registered Rep”), you have many responsibilities to both your firm and your clients. Upholding the principles of integrity, transparency, and client best interest is vital when fostering trust and confidence in your professional capabilities. Responsibilities to Your Firm When it comes […]