FINRA Tag

FINRA releases a whitepaper exploring the current state of cloud computing in the financial services industry including key benefits achieved…

FINRA recently deployed a new security feature for users of the Web CRD and IARD systems which is being rolled…

Form CRS, the sleeping giant, awakens! Investment advisers and broker dealers are turning their attention to planning for Form CRS,…

Now that we are in mid-January, a few things are evident. We have likely broken one or more New Year’s…

FINRA has consolidated its three examination programs into a single program, a process that started in October 2018. As part…

At FINRA’s recent annual conference in Washington D.C., President and CEO Robert W. Cook and Executive Vice President of Member…

FINRA first introduced enhancements to the Central Registration Depository (“CRD”) on October 1, 2018, which were rolled out in support…

Well ahead of the New Year, the SEC Office of Compliance Inspections and Examinations (OCIE) announced its 2019 examination priorities….

On December 6, 2017, FINRA did something it has never done before: It released a summary report of its examination…

Ascendant summarizes SEC and FINRA exam priority letters, highlighting key topics to investment advisers and broker-dealers, along with practical advice.

Guidance, doing the right thing, understanding the regulations and building solid compliance programs are triumphs not just for the regulated firms, but also for the industry and investors alike.

The CRD system’s balance representation’s will now be much more intuitive.