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 (Uniform Application for Securities Industry Registration or Transfer). 2015, FINRA fined a broker-dealer $1. Alumni Registration; FINRA RELEASES 2015 BROKER-DEALER EXAM. Please feel free to contact us if you have any questions regarding FINRA's 2015 Regulatory and. Broker dealer registration for M&A Brokers that would have limited rule sets. FINRA is creating a limited broker dealer registration. Broker-Dealer Services, Broker Registration, 3012. With Pre-hire CRD searches as well as preparing state and FINRA registration. Home > Broker-Dealer > FINRA Issues Annual Regulatory and Examination Priorities Letter for 2015. FINRA Issues Annual Regulatory and Examination Priorities Letter for. Guide to Broker-Dealer Registration. SROs assist the SEC in regulating the activities of broker-dealers. FINRA and the national securities exchanges are all SROs. 2015 by Brenda Hamilton, Exemptions from Broker Dealer Registration. FINRA requires that the broker-dealer have at least two securities. Exam priorities for securities firms in 2015. FINRA will focus on broker dealers. The exam priorities for securities firms is an. FINRA appears concerned with firms’ marketing their own broker-dealer sponsored IRAs. Financial Industry Regulatory Authority; FINRA: Letter for 2015, which impacts broker-dealers as well as. FINRA maintains the Central Registration. Trader and Securities Trader Principal Registration Categories and Related. Broker-Dealer, 2015; Effective Date of FINRA Rule 3110. (as broker), for its own account (as dealer), together with a current FINRA registration, enables a broker to engage in. Broker Dealings: A Broker-Dealer Law Blog. 2015 FINRA issued an Information Notice on recent Distributed Denial of Service. Broker-Dealer Registration; Compliance. FINRA in 2015 – High-Risk and Recidivist Brokers. Posted in Broker-Dealer Regulation, Continuing our discussion regarding FINRA’s 2015 Regulatory and. The Securities and Exchange Commission and the Financial Industry National Regulatory Authority (FINRA) today announced the opening of registration for their 2015. SEC Proposes FINRA Registration for High-Frequency Traders. They might also consider giving up broker-dealer registration. This is a pre-registration requirement, i. E, FINRA isn’t requiring that broker-dealers use these tools. Regulatory Compliance is a securities compliance consultant service specializing in services for Securities Broker Dealers, 03/31/2015. SR -FINRA -2015 -054 ) December 17, 2015. Activities without having to register as a broker or dealer pursuant to Section 15. Regulatory Compliance is a securities compliance consultant service specializing in services for Securities Broker. Regulatory Compliance Discusses FINRA. Gap Analysis | FINRA Letter 2015 1. RND Resources, Inc Compliance Registration Accounting FINRA 2015 Exam Priorities Letter Los. The Year in Review: 2015 FINRA Enforcement. And the most significant enforcement actions against broker-dealers in 2015. Most FINRA cases are resolved for less. FINRA Regulatory Actions October - December 2015. They were subject to an available exemption from registration. According to FINRA, broker-dealer, FINRA. The best way for a broker-dealer to prepare for a FINRA examination and avoid. FINRA will be making changes to its registration. The SEC brought enforcement actions against broker-dealers. Broker-Dealer Registration Violations by. Against a broker-dealer in 2015 because the.