Day

July 9, 2020
This is a recent conversation we had over what broker-dealers can use to help them comply with their annual supervisory compliance requirements. As you know, FINRA 3130 is the annual certification from the CEO certifying that your firm complies with all the rules and regulations.  And, FINRA 3120 requires testing of controls that are put...
Read More
We are using cookies to give you the best experience. You can find out more about which cookies we are using or switch them off in privacy settings.
AcceptPrivacy Settings

GDPR