Industry Insights Archives - Page 144 of 144

Continuing Education – Regulatory Element vs. Firm Element

FINRA Rule 1250 requires registered persons to participate in Continuing Education (“CE”). The term “Continuing Education” should be familiar to all registered representatives; however, the distinction between “Regulatory Element” and “Firm Element” training is often blurred. An easy way to differentiate is to remember the word “Regulatory” refers to FINRA (regulations), while the word “Firm” […]

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Branching Out – Office Registration

Article / By Intero Web Division

I’ll bet you’ve been to Walmart many times and most likely to more than one location. The retail giant started as a small business with one location and is now a household name with locations all over the world. This was not an overnight achievement but a long industrious process. There are many benefits to

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New FINRA Rule 3210 – Accounts at Other Broker-Dealers and Financial Institutions

Compliance Alert / By Intero Web Division

FINRA has received approval to update the requirement for disclosure and review of employee brokerage accounts. On April 13, 2016, the U.S. Securities and Exchange Commission (“SEC”) approved Financial Industry Regulatory Authority (“FINRA”) Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions) to replace current National Association of Securities Dealers (“NASD”) Rule 3050 (Transactions for

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