What makes a strong FINOP?

FINRA requires all broker-dealers to designate a Principal Financial Officer (PFO), Principal Operations Officer (POO) and a Financial and Operations Principal (FINOP). Each of these positions must have passed the appropriate licensing exam to be registered as a Financial and Operations Principal (Series 27 or 28), depending on the broker-dealer’s business. In small firms, these… READ MORE

Oyster Consultants Congratulated for Excellent Service

Oyster Consultants bring decades of industry experience and add meaningful value to our clients. As Oyster continues its ascent as a regulatory and compliance leader, we are proud to announce the following promotions: Molly Bryson – Director, Client Relationships Molly is dedicated to the highest level of client satisfaction for financial services firms across the… READ MORE