Author: Rochelle Truzzi, Senior Compliance Consultant
Compliance Programs | FINRA | FINRA Rules | Regulatory Filings
Broker Dealer Compliance “To Do” List for 2019
Photo by Darkmoon 1968 on Pixabay Updated January 10, 2019 Hardin Compliance Consulting compiled a list of regulatory requirements for broker-dealers. This list is not intended to be exhaustive, but…