Effective December 15, 2016, a revision of FINRA Rule 5210 (Publication of Transactions and Quotations) goes into effect, further defining prohibited actions related to disruptive quoting and trading.  FINRA Rule 5210 was designed to prevent the manipulative or fraudulent publication of any quotation or execution of trades unless the member firm believes the quote or […]

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Training Brokers and Operations is Critical for an Effective AML Program The USA PATRIOT Act specifically requires your firm to establish a program to prevent money laundering and interdict possible terrorist financing activities. Brokers who open new accounts are the first line of defense in protecting your firm. Their role is to follow firm procedures […]

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To close the circle on an earlier blog post regarding NASAA updates to the Series 63, 65, and 66 exams: NASAA has updated the test specifications for each of its examinations to better reflect the skills and knowledge needed by broker/dealer agents and investment adviser representatives in today’s ever-changing financial industry. Content related to Series […]

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FIRE Solutions is pleased to announce the addition of Cybersecurity for Representatives & Clients to our Firm Element and Annual Compliance Meeting catalog. Cybersecurity for Representatives & Clients describes the importance of a cybersecurity program, the tactics used to hack into a firm’s systems, and ways that representatives and their clients can prevent these breaches. […]

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