Small Firm Advisory Committee Updates

January 25, 2018
Small Firm Advisory Board Email to Small Firms
2017 Year in Review. Topics include: BrokerCheck, Licensing Requirements, Outside Business Activities, Financial Reporting and FINRA Board and Committee Elections.
May 14, 2014
Small Firm Advisory Board Email to Small Firms
Topics of this email include: background checks; additional CRD data in BrokerCheck; and retrospective review of advertising, gifts and gratuities and non-cash compensation rules.