Firm Element

5/19/2020   Understanding FINRA's Dispute Resolution Process
4/30/2020   SEC Financial Responsibility Rules
3/16/2020   Finalized Hedging Disclosure Rules
1/15/2020   Appointing a Custodian of Books and Records
12/11/2019   What Are Capital Acquisition Brokers (CABs)?
11/15/2019   What Are Alternative Mutual Funds?
10/23/2019   What is Algorithmic Trading?
9/9/2019   Immunity from Liability Under the Senior Safe Act
8/15/2019   Regulation Best Interest: Client Relationship Summary – Minimum Information Requirements
8/5/2019   Regulation Best Interest: The Client Relationship Summary
7/16/2019   An Overview of Regulation Best Interest
6/18/2019   What Can We Learn From Published Disciplinary Actions?
5/15/2019   Standards of Commercial Honor and Principles of Trade
4/8/2019   How Do You Answer When Temptation Knocks?
3/6/2019   Money Laundering Schemes Your Firm Should Know About
2/27/2019   How Important is Workplace Training?
1/25/2019   Trends in Disciplinary Actions - Outside Business Activities
1/24/2019   Trends in Disciplinary Actions – Suitability Rules
1/23/2019   Trends in Disciplinary Actions – Private Securities Transactions
1/22/2019   Trends in Disciplinary Actions - Communication with the Public
12/6/2018   Digital Asset Storage
11/20/2018   Sexual Harassment Training Is Important
10/16/2018   Understanding Bitcoin