RRS Renaissance Regulatory Services, Inc.

FINRA Rule 8210

Renaissance — Fri, 22 Mar 2013 04:01:17 +0000

What impact will the new rule have on outside business activities, dual registration and employment, affiliate and vendor contracts, and management and affiliate expense sharing agreements? Post a comment here and receive a copy of RRS’ views and guidance by Harry Chaffee, CFA.

How are broker-dealers complying with the FINRA Suitability Rule?

Renaissance — Thu, 17 Jan 2013 22:50:36 +0000

We are now over 8 months past the compliance date for FINRA Rule 2111 relating to suitability. While FINRA indicated that its initial focus would be on the procedures that firm’s put in place to comply - and to date this is what we have seen - we believe it is only a matter of time before they scrutinize the implementation of those procedures. Is your firm implementing the written policies and procedures it established? How can you be sure?

Welcome to our new Website!

Renaissance — Thu, 17 Jan 2013 19:51:16 +0000

Renaissance Regulatory Services, Inc. announces the launch of it’s new website designed to provide a more user freindly access to our clients, prospects, and legal and compliance professionals. Tell us what you think.