What do you envision the process will be in creating the risk assessment tool and who would typically be involved in its development? We will utilize our risk assessment models as a baseline to develop a specific risk assessment for your organization and goals. Before answering this question, let me try to say that the...Read More

Recently, we took a look at FINRA’s May 2020 disciplinary actions and found that there were 3 cases relating to violations of FINRA 5210. Of the 3 firms, fines were from $30,000 to $150,000. The rule provides: “No member shall publish or circulate, or cause to be published or circulated, any notice, circular, advertisement, newspaper article,...Read More