broker-dealers Archives - Red Oak Compliance Solutions

Tuesday, October 11 2022

Whitepaper: Overheard at the 2022 FINRA Annual Conference

When we attended this spring’s FINRA annual conference, we came home with a lot of new knowledge. Our teams participated in some really great sessions. We listened and picked up... [...]

Friday, May 13 2022

AdMaster BD Compliance Checklists News

Is Your Organization Prepared for the Future of Compliance?

Technology is changing at an unprecedented pace, and compliance teams need to be ready for anything – the future compliance landscape will be different from anything we’ve seen before.  Regulations... [...]

Tuesday, April 12 2022

Checklists News

Heading Into the Busy Season: What to Keep in Mind

The busy season is winding up. Beyond the usual routine, there’s a lot to think about and a lot that can create volatility in our business routines – including the... [...]

Monday, March 7 2022

Checklists FINRA Notices News Regulatory Alerts

FINRA Released Exam Priorities for 2022

FINRA has made its annual exam priorities available in advance of its 2022 examinations. Many of the items at the top of their priority list focus on ensuring safety and... [...]

Tuesday, January 18 2022

News

Should Your Advisory Fees Be a Market Differentiator?

In a world that’s filled with marketing messages, how can a firm set itself apart from others? Every firm would like to say they provide outstanding service and have experienced... [...]

Monday, January 10 2022

News

Don’t Text and Trade

On December 17, 2021, the SEC and the Commodity Futures Trading Commission fined J.P. Morgan a combined $200 million for failure to properly capture their communications. What Happened? Between January... [...]

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