On November 27, the Department of Labor announced an implementation extension for certain controversial provisions of its “Fiduciary Duty Rule’ that…
As Thanksgiving Day approaches, the team at Knopman Marks sends our thanks to you – the best customers a business…
FINRA has announced an exclusive exam delivery relationship with Prometric beginning January 1, 2018. This relationship applies to all FINRA…
The MSRB recently amended its customer complaint and related investor brochure rules (Rule G-10). Registered municipal dealers, broker-dealers, and municipal…
The Securities Act of 1933 is referred to as the “truth in securities” law and has two basic objectives: Requires…
As a candidate preparing for a state securities exam – Series 63, Series 65, or Series 66 – it is…
FINRA’s new Securities Trader Qualification Examination – the Series 57 – is on the way. FINRA has filed a proposed…
When a security transaction (e.g. a purchase or sale of securities) is not completed according to the terms to the…
New Research Rules FINRA’s released new research rules which generally: – reduce the research quiet periods following IPOs and secondary offerings,…
UPDATE 5/29: FINRA has put out a request for comment and a proposed draft Securities Industry Essentials Examination (SIE) Content Outline…
FINRA’s extensive Exam Restructuring Program launches October 1, 2018. It radically changes the existing representative registration process by replacing the…
Two recent SEC Rule updates have changed issue limits that apply to small issuers. Rule 147 Updates Rule 147 was…
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