Financial Accounting Resources & News
Our expert team keeps up on the latest filings from the SEC, FINRA, and the IRS to ensure our clients can efficiently minimize costs and risks while simultaneously maximizing reporting accuracy.
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Shannon Sanderson
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Shannon Sanderson2020-05-15 07:40:022020-05-15 07:42:18New Paycheck Protection Program Guidance Eases Concerns About Repayments
FINRA Notice 15-52
/in Regulatory Updates/by Jay GettenbergSummary December 2015 FINRA is issuing this Notice to remind firms and registered representatives of their obligations under Rule 603(c) of Regulation NMS (Vendor Display Rule) when providing quotation information to customers. The SEC staff recently made clear its view that if a registered representative provides a quotation to a customer that can be used […]
FINRA Notice 15-51
/in Regulatory Updates/by Jay GettenbergSummary December 2015 Pursuant to rule amendments that will be effective February 1, 2016, FINRA is introducing a new category of trade submissions—clearing-only, non- regulatory reports—that firms can use to submit to clearing those OTC transactions in equity securities that have been previously reported through a FINRA facility.1 Clearing-only, non-regulatory reports cannot be used for […]
FINRA Notice 15-50
/in Regulatory Updates/by Jay GettenbergSummary Effective Date: June 6, 2016 The SEC approved amendments to FINRA Rule 2210 (Communications with the Public) to require each of a member firm’s websites to include a readily apparent reference and hyperlink to BrokerCheck on (1) the initial Web page that the firm intends to be viewed by retail investors, and (2) any […]
FINRA Notice 15-49
/in Regulatory Updates/by Jay GettenbergSummary Effective Date: December 12, 2015 The SEC approved a change to FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to reduce the waiting period from 15 days to three business days for the release of certain information reported on the Form U5 (Uniform Termination Notice for Securities Industry Registration) through BrokerCheck. The effective date is December […]