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By: Geoffrey T. Chalmers, Esq.
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Change of Membership Pursuant to NASD Rule 1017
Your FINRA membership is governed by a membership agreement (MA), which is a contractual document between your firm and FINRA memorializing the terms of your membership. In addition to being responsible for complying with securities rules and regulations, your MA defines your approved lines of business and your net capital requirement. In many cases, the MA also defines the number of offices... |
By: Lisa Sussman |
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Regulatory Housekeeping
It is a new year and time to consider getting your regulatory house in order. Maybe you have been putting off having that mock exam you have been considering. Doing this exam early in the year will get everything in order, so you can go forward with your activities in a compliant manner. Our examiners are well-trained to assess your current status from a regulatory perspective. |
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AML Training: Who Should Participate?
Broker-dealers are expected to have training programs in place as part of their anti-money laundering compliance responsibilities. The purpose of this training is to educate associates on AML rules, best practices, and proper procedures so they can assist their firm in identifying and deterring potential money laundering activity. |
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Form U-4 Frequently Asked Questions
Welcome to the first part of our new mini-series: Frequently Asked Questions. In this segment we hope to address some common questions and concerns that arise during the process of filing a representative’s Form U4. |
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Our Online Store Delivers Quality Securities Exam Preparation - When you’re preparing for a securities licensing exam, you want easy access to high quality materials to gain the confidence and knowledge needed to pass.
The Compliance Exchange, our new online store, offers premium exam preparation textbooks and software that are designed for this purpose. Check out our online offerings of comprehensive, well-written exam preparation materials. You can also: Preview a detailed table of contents and sample chapter for each textbook, take a trial exam by downloading a software demo, and, view sample questions & screenshots. www.ComplianceXchange.net
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