Here are some links to regulatory guidance that helps us shape our approach to serving our clients.
Broker-Dealer Branch Inspections
- Deploying our branch examiners will help you execute on practices outlined by FINRA in its National Examination Risk Alert, which recommends:
- Using highly experienced branch officers with industry expertise and the capacity to challenge assumptions
- Designing procedures to avoid examiners’ conflicts of interest.
Supervision
- The basis for supervising firms and associated persons is FINRA Rule 3110 (Supervision), Rule 3120 (Supervisory Control System) and Rule 3130 (Annual Certification).
- To view FINRA’s frequently asked questions regarding supervision, click here.
Outside Business Activities
- Outside business activities and private securities transactions of registered representatives are based on FINRA Rule 3270 (Outside Business Activities) and FINRA Rule 3280 (Private Securities Transactions).
Anti-Money Laundering
- FINRA Rule 3310: Anti-Money Laundering Compliance Program
- FINRA Regulatory Notice 19-18: Suspicious Activity Monitoring and Reporting Obligations
Ethical Conduct
Highly Experienced Examiners