Compliance News

The Patrina Newsroom

Staying up to date with the changes and developing trends in the world of compliance is vital to reducing your exposure to risk and non-compliance. Each week our team searches for topics that are important to our regulatory environment and creates articles that will inform and educate our readers. Our intent is not to single out any businesses because of their lack of oversight, but to merely keep our readers abreast of the developing trends in regulatory compliance. Staying out of the regulators’ crosshairs is challenging and we hope the articles we share are informative and help you to strength your compliance initiatives.

Your thoughts and comments are greatly appreciated!

June 25, 2015

FINRA Rule 3130 – Are you talking to yourself?

If you’re a small(ish) firm complying with FINRA Rule 3130, you know the goal of the Rule is to “promote regular and meaningful interaction between senior […]
July 8, 2015

If you’re compliant and you know it…Tell the regulators

If you’re compliant and you know it, don’t just clap your hands! Tell FINRA. That’s the advice FINRA’s Susan Axelrod shared at the Agency’s recent 2015 […]
July 17, 2015

Archiving technology boosts storage efficiency

Writing in Tech Target, Phil Goodwin wrote: “A core best practice for effective storage management is archiving technology that frees up storage resources, improves performance, and […]
July 27, 2015

Are you ready for your FINRA exam?

Whether it’s your first exam or 31st, FINRA knows its examiners make you nervous. They admit as much in their “What to Expect” and “How-to Prepare” […]
August 3, 2015

FINRA proposes adoption of the new FINRA Rule 3210

While you were busy closing stoking the BBQ this weekend, FINRA announced Friday that it is filing a proposed rule change with the Securities and Exchange […]