13. Regulations and Compliance

In this section

• 13.1 Registration Requirements
  • Broker-Dealer Registration: A Comprehensive Guide for Series 6 Exam Success
    Master the essentials of Broker-Dealer Registration for the Series 6 Exam. Learn about SEC registration, FINRA membership, compliance obligations, and more.
  • Registered Representative Requirements
    Explore the comprehensive requirements for becoming a Registered Representative (RR) in the securities industry, including exams, registration, and compliance with FINRA rules.
• 13.2 Recordkeeping and Reporting
  • Required Records for Broker-Dealers and Registered Representatives
    Comprehensive guide on required records for broker-dealers and registered representatives, covering customer account records, transaction records, communications, and financial reports. Understand the importance of accuracy, supervisory procedures, and compliance with SEC and FINRA regulations.
  • Retention Periods in Securities Recordkeeping
    Explore the essential retention periods for securities records, including compliance with SEC Rule 17a-4 and FINRA guidelines, to ensure regulatory adherence and avoid penalties.
  • Electronic Storage Standards for Securities Recordkeeping
    Explore the comprehensive guide to electronic storage standards in securities recordkeeping, focusing on regulatory compliance, WORM technology, and SEC Rule 17a-4(f).
• 13.3 Regulatory Inspections and Audits
  • Examination Processes for Broker-Dealers: Understanding FINRA and SEC Inspections
    Discover the intricacies of broker-dealer examination processes by FINRA, SEC, and state regulators. Learn about the purpose, types, and steps involved in regulatory inspections to ensure compliance and investor protection.
  • Responding to Regulatory Requests
    Master the art of responding to regulatory requests in the securities industry with our comprehensive guide. Learn best practices, understand the importance of truthful representations, and explore the consequences of non-compliance. Equip yourself with the knowledge to handle regulatory inquiries effectively and maintain compliance with FINRA guidelines.
• 13.4 Complaint Handling and Reporting
  • Definition of a Complaint: Understanding FINRA Regulations and Compliance
    Learn the definition of a complaint in the securities industry, its importance, and how to handle and report complaints effectively according to FINRA regulations.
  • FINRA Reporting Requirements: Comprehensive Guide for Series 6 Exam
    Master the FINRA Reporting Requirements for the Series 6 Exam with our detailed guide. Learn about the obligations for reporting complaints, the use of FINRA Gateway, Rule 4530, and best practices for compliance.
• 13.5 Disciplinary Actions and Sanctions
  • Violation Consequences in Securities Regulations
    Explore the potential consequences of violating securities regulations, including fines, suspensions, and criminal prosecution, and learn about the impact on professional reputation and the importance of compliance programs.
  • Appeal Processes in FINRA Disciplinary Actions
    Comprehensive guide to understanding and navigating the appeal processes for FINRA disciplinary actions, including filing procedures, review by the NAC, and further appeals to the SEC and federal courts.