Some (Very Recent) Background Effective October 1, 2018, FINRA member broker-dealers are required to designate a Principal Financial Officer (“PFO”) and a Principal Operations Officer (“POO”). PFOs and POOs are now required at all broker-dealer firms. FINRA expects that the PFO would have primary responsibility for financial filings and related books and records. The… Read More »
BD - Operations
FINRA’s New Licensing Requirements
In late 2017 FINRA provided notice of a series of changes to be made to the Qualification and Registration rules. On October 1, 2018 those changes became effective. One of the most interesting changes, for no other reason than that it concerns the creation of a new level of qualification and hence a new… Read More »
