News

“Live up to tasks WSPs assign to you or face consequences, case shows” Louis Dempsey
Comments to BD Week regarding recent FINRA action…[more]

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“FINRA’s New Muscle – Amended Rule 8210″ an RRS Research Services article by Harry Chaffee…[more]

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“Summertime is Here! Compliance Can Keep You Cool!”…[more]

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“Your No. 4 duty: Being all over compliance issues that arise”…[more]

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“Strategies for conquering the task ahead: A plain-English Part 2 brochure”…[more]

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“Net Capital Compliance, Net Capital Reliance” an article by Kyle Boulton…[more]

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“Significant Rule Changes Materially Affect FINRA Members” an article by John E. Pinto…[more]

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“SEC vs State Registration of Investment Advisers” by Rick White…[more]

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Preparing for a Regulatory Examination by Bart McDonald…[more]

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