Month: August 2021 Articles

          Have you just left a broker-dealer you couldn’t stand anymore? Did the firm just put a bunch of false and defamatory information that puts you and your practice in a false light on your U5? Are there customer complaints on your U5 that shouldn’t be there? If...

In December 2020, FINRA published Regulatory Notice 20-42, which launched a review of lessons learned during the pandemic, soliciting comment on a range of topics, including remote inspections. In response to that notice, FINRA has seen general support from...