Financial Accounting Resources & News
Our expert team keeps up on the latest filings from the SEC, FINRA, and the IRS to ensure our clients can efficiently minimize costs and risks while simultaneously maximizing reporting accuracy.
https://www.acisecure.com/wp-content/uploads/2016/11/wall-street-george-washington.jpg
439
1024
Jay Gettenberg
/wp-content/uploads/2016/11/aci.finop-logo3-300x123.jpg
Jay Gettenberg2023-05-26 14:25:082023-12-19 08:27:16What is a FinOp?
FINRA Notice 16-03
/in Regulatory Updates/by Jay GettenbergSummary Implementation Date: December 14, 2015 The SEC approved an amendment to FINRA Rule 0150 to codify the application of FINRA Rule 2121 and its Supplementary Material .01 and .02, which govern mark-ups and commissions, to transactions in exempted securities that are government securities. The amendment became effective upon SEC approval. The amended rule text […]
FINRA Notice 16-02
/in Regulatory Updates/by Jay GettenbergSummary Implementation Date: March 7, 2016 FINRA periodically reviews the content of qualification examinations to determine whether revisions are necessary or appropriate in view of changes—including changes to the laws, rules and regulations—pertaining to the subject matter the examinations cover. Based on this review process, FINRA has revised the General Securities Sales Supervisor (Series 9/10) […]
FINRA Notice 16-01
/in Regulatory Updates/by Jay GettenbergSummary Payment Deadline: January 15, 2016 FINRA is issuing this Notice to help firms review, reconcile and respond to their Final Statements as well as view the reports that are currently available in Web CRD/IARD for the annual registration renewal process. The payment deadline is January 15, 2016. See the attached pdf, for the full text: […]
FINRA Notice 15-52
/in Regulatory Updates/by Jay GettenbergSummary December 2015 FINRA is issuing this Notice to remind firms and registered representatives of their obligations under Rule 603(c) of Regulation NMS (Vendor Display Rule) when providing quotation information to customers. The SEC staff recently made clear its view that if a registered representative provides a quotation to a customer that can be used […]