Updated Guidance Issued on Exemption Reporting

Recently, the SEC and FINRA issued Frequently Asked Questions (FAQs) concerning the exemptive provisions of SEC Rule 15c3-3 and reporting under SEC Rule 17a-5 for monthly and quarterly Focus reports, annual Exemption reports and for updating membership agreements. Who is Affected? The FAQs relate to Non-Covered firms, broker-dealers that do not: meet any of the… READ MORE

Recording Available: Looking Out for the Baby Boomers: Are You Protecting Your Firm and Your Client?

The U.S. population is aging – in January 2011, thousands of Baby Boomers began turning 65 every day.   FINRA’s new rules to increase protections for vulnerable investors and to provide firms with guidelines to ensure these protections take effect February 5, 2018.  Is your firm ready to handle the issues that come with having senior clients? On… READ MORE