Books and Records

As of December 12, 2015, FINRA will release Form U-5s within three business days of a member firm’s submission, instead of the fifteen days currently provided for under Rule 8312.
Continue Reading So what does the expedited release of a Form U-5 mean for you

In order to have sound cyber-security protocols, you need to do more than just physically protecting your systems and having written supervisory programs. Specifically, you need to fully engage your…
Continue Reading How can your clients be part of your data security program

The SEC and FINRA have made it very clear that they are focused on senior customers and elder abuse. Granted, firms must be focused on the elder customers, but, at…
Continue Reading Why elder issues are not just about your clients

The SEC recently issued an investor bulletin regarding one of our favorite topics; data security of customer accounts. The primary areas of the SEC’s focus were:

  1. Have a strong password,

…
Continue Reading Who wants more reasons to focus on data security

In a recent blog, Michael Volkov noted five ingredients to ensure a culture of compliance. Why should you care? It is quite simple, firms that do not promote a culture…
Continue Reading Do you want to know 5 things that lead to a culture of compliance

As recently reported in the Investment News, the North American Securities Administration Association (NASSA) reported on the results of state coordinated examinations. The relative good news was that there were…
Continue Reading Who wants to know five compliance trouble areas for state-based advisors