Compliance

Responding to an 8210 Request

Responding to an 8210 Request

By Mark J. Astarita, Esq. 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, […]

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 […]