Broker-Dealer Registration

Over the years that I have defended broker-dealers and investment advisors, a more robust overview of outside business activity (OBA) disclosures would have gone a long way to disprove a
Continue Reading Who Wants To Know How OBA Disclosures Can Save Your Firm?

As you may know, FINRA, last April, launched a senior helpline to address issues pertaining to senior investors. According to recent reports, FINRA received calls on many different issues such
Continue Reading Who still thinks FINRA is not interested in elder investor issues

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