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By Ralph Magee

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FINRA Continuing Membership Applications

Understanding the FINRA CMA Process  For broker-dealers, significant business changes often require filing a Continuing Membership Application (CMA) with FINRA (Rule 1017). These applications are complex, and missteps can result in costly delays. In this Oyster Stew episode, Ed Wegner, Practice Lead for Governance, Risk and Compliance at CRC-Oyster, is joined by former FINRA membership experts Lisa Robinson, […]

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Better Decisions Through GRC

In today’s financial services environment, firms face complex regulatory obligations and heightened expectations from clients and regulators alike. Making better decisions isn’t just about having the right people—it’s about giving those people the right tools. Governance, Risk, and Compliance (GRC) software has become essential for firms seeking to transform compliance from a reactive function into a proactive driver of strategy.  Oyster Solutions […]

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Benefits of a Single, End-to-End Audit Program

Fragmented Systems Create Risk  Chief Compliance Officers (CCOs) know that testing and the audit process are critical pillars of an effective supervisory system. Yet many firms still rely on a patchwork of emails and spreadsheets and shared drives to conduct their annual audits. This fragmentation introduces unnecessary risk, slows down the process, and makes it harder to identify and correct issues in a timely and traceable manner.  When systems aren’t integrated, tasks can […]

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