- Independent Broker Dealer Consortium
Compliance Risk Concepts
March 30, 2020
On the heels of FINRA’s notice regarding pandemic-related business continuity measures, CRC would like to take this opportunity to remind all financial services clients that now […]
March 2, 2020
On July 25, 2019, the Stop Hacks and Improve Electronic Data Security Act (SHIELD Act) was signed into law (see Update S5575B). The SHIELD Act expands the […]
December 19, 2019
The Securities and Exchange Commission (“SEC” or “Commission”) recently published a proposal for significant changes to the rules and guidance surrounding the marketing and advertising activities […]
November 3, 2019
In this episode of CRC TV, we interview our Compliance and Financial Operations Professional, Scott Brown, who discusses his upbringing in Queens, NY during the 1970s […]
October 3, 2019
As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly review and summary of FINRA, SEC, and NFA notices and bulletins […]
July 19, 2019
On June 5, 2019 the Securities and Exchange Commission (“SEC”) voted to enhance the regulatory framework standard of conduct for broker-dealers (or “firms”) and provide an […]
March 5, 2019
This is the fourth of our series on Building a Business Case for Compliance Technology for Hearsay Systems. In this article, Mitch Avnet shares the process of building a […]
February 20, 2019
With 2018 in the rear-view mirror and 2019 underway, we find ourselves in a position to look back across the regulatory landscape on what transpired over […]