Broker Dealer Audit Due Dates and Compliance
Broker Dealer Audit Due Dates and Compliance Broker Dealers must submit an annual independent certified audit to both FINRA, the […]
3 reasons why you should get audit ready now
Year end is coming… and while it is tempting to put things off, we both know you will be just […]
The Broker Dealer Exemption Report – webinar October 15
October 15 – 1:00 PM EST (virtual) Earn 1 CPE Credit Hour For Broker-Dealers and FINOPs of Broker-Dealers This CPE […]
Payroll Tax Deferral – An Administrative Challenge
On August 8, 2020, President Trump signed an executive action in the form of a memorandum allowing employers the option […]
The PPP Loan – Update
The PPP program now allows borrowers the option of extending the eight week period following the loan disbursement date during […]
Reminder NFA Members – New Self Exam Questionnaire Available
The National Futures Association (“NFA”) requires all its member firms, on an annual basis, to review their operations using NFA’s […]
Webinar -The Broker-Dealer Exemption Report. Understanding the requirements of…
August 27 – 4:30PM EST (virtual) Earn 1 CPE Credit Hour For Broker-Dealers and FINOPs of Broker-Dealers This CPE Workshop […]
Payroll Protection Program – Highlights
General Loan Forgiveness FAQs Question: Which loan forgiveness application should sole proprietors, independent contractors, or self-employed individuals with no employees […]
Introducing Broker AML: New Guidance
Per NFA Compliance Rule 2-9(c), all FCMs and IBs are required to implement and maintain an Anti-Money Laundering Program to […]