Financial Accounting Resources & News
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Shannon Sanderson2017-11-06 12:52:042017-11-06 12:52:04FINRA Plans BrokerCheck Changes, Remote Exams – www.ThinkAdvisor.com
FINRA Notice 15-43
/in Regulatory Updates/by Jay GettenbergSummary Effective Date: November 3, 2015 As required by Regulation Systems Compliance and Integrity (Regulation SCI), FINRA has adopted new Rule 4380 related to mandatory member firm participation in business continuity and disaster recovery (BC/DR) testing.1 The new rule authorizes FINRA to designate firms that must participate in FINRA’s BC/DR testing under Regulation SCI, which […]
FINRA Notice 14-45
/in Regulatory Updates/by Jay Gettenberg