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Guidance

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July 2, 2019 //  by admin

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

  • FINRA Rule 2010: Standards of Commercial Honor and Principles of Trade

Category: Guidance

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(303) 594-8237
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