As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]
YOU BETTER CHECK YOURSELF - BEFORE YOU WRECK YOURSELF
End of Year Compliance Requirements For Broker Dealers
As the end of 2014 quickly approaches, this Compliance Bulletin serves as a notice and reminder to Broker-Dealers regarding year-end responsibilities that must be executed in accordance with FINRA / SEC regulatory requirements. Reconciling your current “state of compliance” is the most effective way to ascertain your program’s status and ensure your firm continues to meet its ongoing regulatory requirements.
Compliance Bulletin 04-14 includes information on:
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