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FINRA's Examination team conducts exams every member firm at least every four years and as often as annually. See Form CRS exam findings.
It is critical for broker dealer supervisory personnel to stay mindful of fingerprint records for non-registered associated persons.
Expense Sharing Agreements are one of the most important regulatory concepts in the broker dealer and investment advisory world. Here’s a quick refresher.
See FINRA's Books and Records Requirements Checklist for Broker-Dealers. Call us if you need assistance navigating your next FINRA exam.
SEC continues to impose major fines in connection with inadequate AML compliance, citing that a cut-and-paste approach to meeting the requirements is not an option.
