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FINRA Notice to Members – More Than Just Rules

Wednesday, April 24 2019

BD Compliance IA Compliance News Regulatory Alerts

FINRA Notice to Members – More Than Just Rules

For those who are not aware, as a registered broker dealer there is more than just the FINRA Rules with which you must remain in compliance. Most are aware, but... [...]

Monday, April 15 2019

BD Compliance IA Compliance News

Too Good to Be True

On August 9, 2019, the SEC brought a civil enforcement action against Gonzalo Ortiz. Ortiz, who has no securities licenses and has never been affiliated with a broker-dealer or investment... [...]

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FINRA Notice to Members – More Than Just Rules

FINRA Notice to Members – More Than Just Rules

Too Good to Be True

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