Skip to content
(631) 801-2900inquire@asgardcompliance.com
LinkedIn
Asgard Regulatory Group, LLC
  • HOME
  • ABOUT US
    • Firm Profile
    • Our Team
    • Strategic Partners
  • SERVICES
    • Broker-Dealer Compliance Services
    • Investment Adviser
    • FINOP Services
  • BLOG

Tag: FINRA Compliance Training

4 Jan 2021

December 9, 2020 -FINRA Board of Governors Meeting

Sean ReddyBoard Meeting, FINRA, FINRA Compliance Training

FINRA’s Board of Governors met via...

Read More
23 Sep 2020

SEC Files $1 Million DollarFraud Complaint Against Advisor

Frank MartoranaFINRA Compliance Training, FINRA Disciplinary Actions, fraud, SEC, SEC Risk Alert

The Securities and Exchange Commission (“SEC”)...

Read More
18 Aug 2020

Virtual Business Entertainment

Abbey MirelliBroker Dealer Compliance, FINRA compliance consultants, FINRA Compliance Training, Investment Banking Compliance

FINRA Rule 3220 sets strict limits...

Read More
22 Jul 2020

Increase in Electronic Communication Disciplinary Actions

Jenna BeekmanBroker Dealer Compliance, Broker dealer compliance consulting firms, Broker dealer compliance services, FINRA compliance consultants, FINRA Compliance Training

COVID-19 has impacted the world’s operations...

Read More
22 Jul 2020

SEC Charges App Developers for Unregistered Security-Based Swap Transactions

Sean ReddyAdvisers Act, Anti-money laundering test, Broker Dealer Compliance, Broker dealer compliance consultants, FINRA compliance consultants, FINRA Compliance Training

Abra, a California-based trading app, and...

Read More
21 Jan 2020

December 2019 FINRA Disciplinary Actions

Olivia ScuteriAnti-money laundering test, Broker Dealer Compliance, Broker dealer compliance checklist, Broker dealer compliance consultants, Broker dealer compliance consulting firms, Broker Dealer Compliance Requirements, Broker dealer compliance services, Broker dealer risk assessment, FINRA compliance consultants, FINRA Compliance Training, Investment Banking Compliance, Investment banking regulatory compliance, Money laundering test, Outsourced compliance officer

FINRA disciplinary actions taken against firms...

Read More
2 Jan 2020

November 2019 FINRA Disciplinary Actions

Olivia ScuteriAnti-money laundering test, Broker Dealer Compliance, Broker dealer compliance checklist, Broker dealer compliance consultants, Broker dealer compliance consulting firms, Broker Dealer Compliance Requirements, Broker dealer compliance services, Broker dealer risk assessment, FINRA compliance consultants, FINRA Compliance Training, Investment Banking Compliance, Investment banking regulatory compliance, Outsourced compliance officer

FINRA disciplinary actions taken against firms...

Read More
7 Nov 2019

October 2019 FINRA Disciplinary Actions

Olivia ScuteriAnti-money laundering test, Broker Dealer Compliance, Broker dealer compliance checklist, Broker dealer compliance consultants, Broker dealer compliance consulting firms, Broker Dealer Compliance Requirements, Broker dealer compliance services, Broker dealer risk assessment, FINRA compliance consultants, FINRA Compliance Training, Investment Banking Compliance, Investment banking regulatory compliance, Outsourced compliance officer

      FINRA disciplinary actions...

Read More
9 Oct 2019

‘Tis the Season for an AML Inspection

Jon HurdAnti-money laundering test, Broker Dealer Compliance, Broker dealer compliance checklist, Broker dealer compliance consultants, Broker dealer compliance consulting firms, Broker Dealer Compliance Requirements, Broker dealer compliance services, Broker dealer risk assessment, FINRA compliance consultants, FINRA Compliance Training, Investment Banking Compliance, Investment banking regulatory compliance

      As Summer has...

Read More
3 Oct 2019

September 2019 FINRA Disciplinary Actions

Olivia ScuteriAnti-money laundering test, Broker Dealer Compliance, Broker dealer compliance checklist, Broker dealer compliance consultants, Broker dealer compliance consulting firms, Broker Dealer Compliance Requirements, Broker dealer compliance services, Broker dealer risk assessment, FINRA compliance consultants, FINRA Compliance Training, Investment Banking Compliance, Investment banking regulatory compliance, Outsourced compliance officer

      FINRA disciplinary actions...

Read More
20 Sep 2019

August 2019 FINRA Disciplinary Actions

Olivia ScuteriAnti-money laundering test, Broker Dealer Compliance, Broker dealer compliance checklist, Broker dealer compliance consultants, Broker dealer compliance consulting firms, Broker Dealer Compliance Requirements, Broker dealer compliance services, Broker dealer risk assessment, FINRA compliance consultants, FINRA Compliance Training, Investment Banking Compliance, Investment banking regulatory compliance, Money laundering test, Outsourced compliance officer

FINRA disciplinary actions taken against firms...

Read More
23 Aug 2019

July 2019 FINRA Disciplinary Actions

Olivia ScuteriBroker Dealer Compliance, Broker Dealer Compliance Requirements, Broker Dealer Continuing Education, FINRA Compliance Training, FINRA Disciplinary Actions, FINRA U4, FINRA U5, Investment Banking Compliance

      The following disciplinary...

Read More

Our Team

  • Jonathan Hurd, CAMS
  • Eden Turner, CAMS
  • Olivia Scuteri
  • Jenna Beekman
  • Sean Reddy
  • Abbey Mirelli

Asgard Regulatory Group, LLC.

3900 Veterans Memorial Highway
Suite 360, Bohemia, NY 11716

Contact Us:

(631) 801-2900

Email Us:

Email: inquire@asgardcompliance.com

LinkedIn

© ASGARD REGULATORY GROUP, LLC.
All right reserved 2018

Close