RepStreet » regulations http://www.repstreet.com Thu, 04 Feb 2010 17:12:47 +0000 http://wordpress.org/?v=2.8.4 en hourly 1 AML Template for Small Firms http://www.repstreet.com/14/aml-template-for-small-firms/ http://www.repstreet.com/14/aml-template-for-small-firms/#comments Thu, 14 Jan 2010 12:52:40 +0000 Magnifico http://www.repstreet.com/?p=2101 You can now smfind a template for small firms on FINRA’s site that will help them in establishing the AML compliance program. It includes relevant rules, Web sites, text examples, and other sources that will definitely be helpful during the development of an AML plan.

Click here to access FINRA’s page for this particular item.

]]> http://www.repstreet.com/14/aml-template-for-small-firms/feed/ 0 New Podcasts from FINRA http://www.repstreet.com/02/new-podcasts-from-finra/ http://www.repstreet.com/02/new-podcasts-from-finra/#comments Wed, 02 Dec 2009 14:24:11 +0000 Magnifico http://www.repstreet.com/?p=1951 Two new podcast are now available through FINRA’s website:

- PANDEMIC PREPAREDNESS (PART 1)

- CHANGES TO TWO OF THE SECURITIES INDUSTRY’S REGULATORY ELEMENT CONTINUING EDUCATION PROGRAMS (S101/S106)

For more info or to view them please click on this link.

]]> http://www.repstreet.com/02/new-podcasts-from-finra/feed/ 0 Learning to Invest – Podcast http://www.repstreet.com/20/learning-to-invest-podcast/ http://www.repstreet.com/20/learning-to-invest-podcast/#comments Fri, 20 Nov 2009 12:44:40 +0000 Magnifico http://www.repstreet.com/?p=1909 There are two new podcasts available through FINRA’s site that discuss basics on investing (Podcast #1) and risks associated with different types of investments (Podcast #2).

Click here to view the podcasts.

]]> http://www.repstreet.com/20/learning-to-invest-podcast/feed/ 0 How to Invest in Muni Bonds http://www.repstreet.com/04/how-to-invest-in-muni-bonds/ http://www.repstreet.com/04/how-to-invest-in-muni-bonds/#comments Wed, 04 Nov 2009 12:39:43 +0000 Magnifico http://www.repstreet.com/?p=1787 This new podcast is nowavailable through FINRA’s site.

Click here to access podcast.

]]> http://www.repstreet.com/04/how-to-invest-in-muni-bonds/feed/ 0 Anti-Money Laundering Programs Very Important http://www.repstreet.com/26/anti-money-laundering-programs-very-important/ http://www.repstreet.com/26/anti-money-laundering-programs-very-important/#comments Mon, 26 Oct 2009 20:45:35 +0000 MoneyElement http://www.repstreet.com/?p=1659 Just ask Scottrade about the recent fee imposed by FINRA. The brokerage firm has been charged $600,000 for “failing to establish and implement” an adequate anti-money laundering program.

“FINRA requires brokerage firms to establish and implement anti-money laundering policies, procedures and internal controls reasonably designed to detect and cause the reporting of any suspicious transactions that could be related to possible violations of laws or regulations – regardless of whether those transactions are associated with suspicious movement of funds into or out of accounts.”

 

Read full story here.

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