Cybersecurity Intensifies & Restricted Firms Get Mark |
[VIDEO] This month, we discuss the SEC’s recent ramp up on cybersecurity and when BrokerCheck plans to reveal whether a Broker Dealer is a "Restricted Firm." |
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SEC Issues "Safeguarding Customer Accounts" Alert |
The SEC recently released a Risk Alert on the importance of establishing written policies and procedures for safeguarding customer records and information at branch offices. |
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Heading to the FINRA Conference? |
May 16 - 18, 2023 | Washington, DC |
Don't forget to swing by Booth #25! We'd love to show you how our technology can help simplify compliance. |
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SEC Releases Third (and Final) Reg BI Bulletin |
The SEC released its third and final staff bulletin, which focuses primarily on the Care Obligation with Reg BI and the duty of care under the Investment Advisers Act of 1940. |
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Market Downturn Leads to BD Financial Decrease |
FINRA's 2022 Industry Snapshot provides a high-level overview of the industry, ranging from the number of FINRA-registered individuals to the overall revenues of firms. |
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