Pursuant to FINRA Regulatory Notice 17-30, all Broker-Dealers are required to designate a Principal Operations Officer “POO” and Principal Financial Officer “PFO”. This requirement replaces the current requirement that dual members of FINRA and the NYSE designate a Chief Financial Officer (CFO) and a Chief...

While social media by itself may not seem like a threat to your business, ignoring best practices around cybersecurity makes it easy for scammers to exploit your firm’s data. Neglecting privacy settings invites cybercriminals to use personal information in ways that could be detrimental to...

Many firms are concerned with the expense and administrative load associated with fulfilling the role of a CCO. Broker-Dealers and RIA’s may consider forming an alliance with an outsourced firm to address some of their internal concerns while filling this role. Communicating with regulators is...