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Exam News, Rule Changes

T+2 Settlement Timelines and Impact

October 3, 2017 by Dave Meshkov No Comments

The recent change in the securities settlement cycle to T+2 (from T+3) has affected when trades settle and other rules and regulations that…

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FINRA Exams, SIE

The SIE Exam’s Impact on Recruiting, Hiring, and Graduate Training Programs

May 17, 2017 by Dave Meshkov No Comments

The new Securities Industry Essentials (SIE) Exam will change your business (read more about it here)! Over the past few…

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FINRA Exams, SIE

SIE Exam Update from the 2017 FINRA Conference

May 17, 2017 by Dave Meshkov No Comments

This week is FINRA’s annual conference, and from the Knopman Marks perspective we are most excited to share an update…

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Rule Change Updates
FINRA Exams, Rule Changes

SEC Approves Rules to Protect Seniors

March 31, 2017 by Marcia Larson No Comments

Seniors will receive increased protection from financial exploitation under new rules that were recently approved by the SEC.  Effective February…

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FINRA Exams, Rule Changes, Series 24 Exam, Series 7

New Crowdfunding Rule for Securities Sales

May 13, 2016 by Marcia Larson 2 Comments

Effective Monday, May 16, 2016  investors can purchase new securities through crowdfunding.  In recent years, internet crowdfunding has been popular for raising early-stage…

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