News

“Florida Custody Rule” an RRS Research Services article by Rick White…[more]


“IA Identity Theft Red Flags Rule” an RRS Research Services article by Rayma Christy …[more]


 New RRS Service – Advertising Review Consulting Press Release…[more]


WEBINAR, Thursday 6/27/13 at 4 PM EST – “Learn How to Survive an SEC Exam and How We Can Help You Comply With The Custody Rule – Bart McDonald speaking.  Listen to Replay Here: [more]


“Net Cap Re-Cap” an RRS Research Services article by Kyle Boulton…[more]


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


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


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


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


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


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


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


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


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