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Broker-dealers need to respond to recent focus on cybersecurity threats
Petron, David; Wolk, Michael; McNicholas, Edward - In: The journal of investment compliance 15 (2014) 2, pp. 29-32
Persistent link: https://www.econbiz.de/10010396203
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FINRA fines broker-dealer for failing to apply class A sales charge waivers for certain eligible customers on its mutual fund platform
Kerr, Richard F. - In: The journal of investment compliance 15 (2014) 4, pp. 53-56
Persistent link: https://www.econbiz.de/10010462124
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FINRA proposes requiring registration of associated persons who develop algorithmic trading strategies
Angstadt, Janet M.; Foley, Michael T.; Pazzol, Ross; … - In: The journal of investment compliance 16 (2015) 3, pp. 33-36
Persistent link: https://www.econbiz.de/10011446046
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2014 FINRA analysis : a blockbuster year for fines
Rubin, Brian; McCormick, Andrew M. - In: The journal of investment compliance 16 (2015) 2, pp. 4-12
Persistent link: https://www.econbiz.de/10011405507
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Practical tips for satisfying FINRA's "culture" concerns
Nathan, Daniel A. - In: The journal of investment compliance 18 (2017) 1, pp. 8-14
Persistent link: https://www.econbiz.de/10011662040
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Are your customer accounts in order? : SEC announces sweep of broker-dealers and implementation of the customer protection rule initiative
Beck Mitchum, Melissa; Xiong, Bob - In: The journal of investment compliance 18 (2017) 1, pp. 68-74
Persistent link: https://www.econbiz.de/10011662150
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FINRA rule amendment requires registration of associated persons who develop algorithmic trading strategies
Foley, Michael T.; Angstadt, Janet M.; Pazzol, Ross; … - In: The journal of investment compliance 17 (2016) 3, pp. 39-41
Persistent link: https://www.econbiz.de/10011623079
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An overview of the FINRA Rule 4210 margin amendments
Mathews, Nikiforos; Robison, Jonas - In: The journal of investment compliance 18 (2017) 4, pp. 31-35
Persistent link: https://www.econbiz.de/10011808462
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Recent regulatory developments provide some clarifications regarding the market access rule for broker-dealers
Newman, Bruce H.; Mitchell, Elizabeth; Nicolas, Stephanie R. - In: The journal of investment compliance 15 (2014) 3, pp. 10-19
Persistent link: https://www.econbiz.de/10010428122
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High-frequency traders : a review of the challenges in registering them as dealers
Fitterman, Mark; Sandoval, Ignacio - In: The journal of investment compliance 15 (2014) 3, pp. 3-9
Persistent link: https://www.econbiz.de/10010428126