Archive for May 2017

FINRA: How to Ace the Exam

 A complaint that is often heard about securities regulation is that it is a “check-the-box” exercise. In many instances, however, checking that box is a highly effective control. I do not agree with the check-the-box mentality. And I believe there are too many irrelevant boxes to check.  Here are a couple of things to consider…Read More

Take a Break during the FINRA Conference

On May 17th, 2017, join Actiance and Elin Cherry in Washington, DC for an interactive discussion of the common supervisory pitfalls financial services firms face when dealing with oversight of electronic communications and what you can do to avoid them. Both broker-dealer and investment advisors are facing complex electronic communications oversight hurdles. Elin will be…

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