Key Takeaways:
..On September 28, 2021, FINRA released Regulatory Notice 21-34 which introduces additional new rules aimed at addressing high risk or “recidivist” brokers and the member firms that hire them.
..Under...more
Key Takeaways:
..After years of warning firms of the need for enhanced diligence in retaining or hiring brokers with a significant history of misconduct, FINRA has adopted new rules to address such brokers.
..As set...more
5/19/2021
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Broker-Dealer ,
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Compliance ,
Criminal Records ,
Financial Industry Regulatory Authority (FINRA) ,
New Regulations ,
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Regulatory Requirements ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)