Tag: Broker-Dealer Compliance

When a newly hired registered representative joins a broker-dealer firm, the compliance clock starts ticking immediately. In most firms, it can take two to...

For the first time in more than three decades, FINRA has raised the annual gift limit under Rule 3220. The Securities and Exchange Commission...

ACA Group has acquired FINOP Consulting a firm specializing in financial and operations principal outsourcing for broker-dealers.

In the financial regulatory landscape, understanding and adhering to FINRA's Rule 2090, commonly known as the KYC rule, is crucial for brokerage firms.