broker-dealers

Act Now – FINOP Changes Required October 1st

FINRA is changing its registration requirements for Chief Financial Officers (CFOs) and Chief Operating Officers (COOs).  The new registration rules take effect October 1, 2018. It is more than just a title change.  The requirement for certain firms to have a CFO/COO (requiring Series 27/28 licensing) is being applied to ALL firms, and the registration… READ MORE

FINRA Registration Reset

Last October, the SEC approved sweeping, new FINRA registration rules that consolidated and restricted existing NASD and NYSE registration rules.  The rules affected are FINRA Rules 1210, 1220, 1230, and 1240. The rules are effective October 1, 2018.  Over the next few weeks, Oyster will post blogs on the following topics to help you understand… READ MORE