Alan J. Foxman
Managing DirectorAlan J. Foxman is a managing director at Foreside Financial Group.
Alan J. Foxman is a managing director at Foreside Financial Group.
Regulators will conduct surveys and sweep exams to assess how your firm’s BCP handled — or didn’t — the COVID-19 pandemic
Yes, they’ll be going up in September — but not as much as you may have heard.
Despite recent upheaval, some clients will still be shocked their portfolios have shown declines.
My broker-dealer warned that since it’s a forgivable loan it could be seen as a compromise with creditors.
That would be a big “no,” in most cases, according to FINRA, but gives rise to another question…
Make sure not to confuse it with the SEC’s self-reporting program.
The SEC says broker-dealers may treat investment advisors as if they were subject to the AML Rule — under certain conditions.
Not a great idea, says Alan Foxman, but if you’re determined, there may be a way.
Deciding what does or doesn’t constitute a “material change” can be a tough call.
Due to a 2010 FINRA rule change the answer is — with difficulty.