FINRA aims to help small firms: The Financial Industry Regulatory Authority has debuted a toll-free help line to provide guidance to small financial firms on compliance matters. FINRA CEO Robert Cook said the Small Firm Helpline will “make it faster and easier for small firms to get answers.”
NSCP News & Updates
FINRA Releases 2018 Examination Priorities. Complete release and details below.
Have thoughts on this year’s focus areas, or wish to confidentially share a recent examination experience?
We’ve launched the NSCP MemberVoice, an anonymous and safe avenue for our Members to share their thoughts, stories, and experiences with regulators, and issues in complying with financial services regulatory requirements.
Don’t miss our latest episode, “Branding Isn’t Just Marketing, Superpower Your Compliance Function” by Aimee R. Blinder, Vice President, Compliance at National Planning Holdings, Inc.
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