The Financial Industry Regulatory Authority (FINRA) has issued a Compliance Vendor Directory for its members as a new resource for firms searching for vendors that offer compliance-related products and services. … Continue reading FINRA Offers Compliance Vendor Directory
The Securities and Exchange Commission has approved a change to FINRA Rule 8312 (FINRA BrokerCheck Disclosure) which will reduce the waiting period from 15 days to three business days for … Continue reading SEC Reduces Form U5 Wait Period to 3 Days on BrokerCheck
On October 6, 2015, Daniel LeGaye of The LeGaye Law Firm was a co-speaker at the 2015 SILA National Education Conference, which was held at the Gaylord Opryland Resort & … Continue reading 2015 SILA National Education Conference
FINRA Renewals FINRA has posted the online Preliminary Renewal Statements on Web CRD and Web IARD, which commenced the 2016 renewal season for broker-dealers and investment advisers. The FINRA Renewal … Continue reading Registration Update: 2016 Broker-Dealer & Investment Adviser Renewal
The SEC has approved amendments to FINRA Rule 1250 (Continuing Education Requirements) to provide for a Web-based delivery method for completing the Regulatory Element of the Continuing Education (CE) requirements. The CE requirements … Continue reading Online Delivery of the FINRA Regulatory Element of Continuing Education Approved
The LeGaye Law Firm wants to advise you that FINRA launched the 2015 Risk Control Assessment (RCA) survey on June 22. Each firm’s executive representative received an email linking to … Continue reading FINRA Launches 2015 Risk Control Assessment
The LeGaye Law Firm wants to advise you that the Colorado Department of Regulatory Agencies has recently passed a new rules Rules 51-4.3(K) and 51-4.4(IA)(I), which requires all broker-dealer and … Continue reading Colorado – New Email Rules Effective June 1, 2015
2014 Renewal Calendar On November 11, 2013, FINRA posted the online Preliminary Renewal Statements on Web CRD and Web IARD, which commenced the 2014 renewal season for broker-dealers and investment … Continue reading Broker-Dealer & Investment Adviser Renewal Update for 2014
Daniel E. LeGaye, Esq., Managing Partner of The LeGaye Law Firm P.C., has been recognized by Elite American Lawyers for dedication, achievements, and leadership in corporate law. For more information, … Continue reading Daniel E. LeGaye receives recognition
John M. Stahl, Esq., who is a freelance legal writer who is a graduate of Babson College and Vermont Law School, stated in a press release that he word on … Continue reading LeGaye Law Firm Quoted in Article