Compliance

FINRA Rule 8210 Request Response

FINRA Rule 8210 Request Response

FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books) gives FINRA the authority to request documents and testimony from firms, registered persons and, in FINRA’s view, […]

Markups, Markdowns

Markups, Markdowns

In recent years, markups have become a growing concern for regulators, and brokerage firm markup policies and procedures have come under increasing scrutiny from the SEC and the NASD. Essentially, […]

Privacy Policy

VGIS Communications (VGIS)is committed to fair information practices and respects the privacy and security of its users. Our goal is to provide you with an Internet experience that delivers the […]

Cold Calling Rules

Cold Calling Rules

Compliance with securities regulations is only the beginning By Mark J. Astarita, Esq. Introduction Cold calling is a method of marketing a service or product by calling prospective clients “cold” […]