Amended Custody Rule

Rule 206(4)-2’s adopting release regarding custody provides a definition of “custody” and interpretative guidance by providing discussion and clarification of the most common examples of what is, and what is... [...]

There seems to be a lot of confusion surrounding the issue of how to calculate regulatory assets under management. There is some good guidance surrounding this in the IARD training... [...]

It’s that time of year again and FINRA has published its Exam Priorities Letter which highlights areas of significant focus in their audit program. These priorities represent FINRA’s assessment of... [...]