FINRA Compliance

Developing a Successful Compliance Platform

Executives and compliance officers of smaller brokerage firms are burdened with regulatory controls that shift their time and focus away from developing products, services, and clients, to working tirelessly at staying on top of rule changes and compliance requirements. With all the time spent simply staying on top of changes and meeting requirements, it’s difficult to strategize and develop a program that compliments and benefits the business. In developing a strong compliance program, determine –  

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Beware of Bitcoin? Regulators Issue Warnings for Investors

Bitcoin is one of the hottest investment stories right now. Over the past few years, this new type of digital currency has exploded in value and caught the attention of investors across the World. However, the excitement behind Bitcoin’s gains might also be masking some serious issues. The SEC and FINRA have both released fairly strong warnings for people considering buying Bitcoins.    Read more