Written by Don Lee FINRA has published its Annual Examination Priorities letter for 2016. This is an annual letter for all FINRA member firms to help them prepare for upcoming examinations and helps others update their compliance programs. This year, FINRA has devoted an entire section to Technology which includes Cybersecurity, Technology Management and...
Read MoreManaging Conflicts of Interest across BD and RIAs
Written by Don Lee Many BD firms are expanding their business in the shrinking BD market to the Investment Advisory space. The number of FINRA registered BDs have fallen in the last few years from approximately 6000 firms down to 4000 firms; where as the number of State and SEC Registered Investment Advisors has increased to over 20,000. Some BD firms are...
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