# Compliance

FINRA’s Trusted Contact Rule

FINRA’s Trusted Contact Rule

BACKGROUND This last winter, FINRA introduced the trusted contact rule. It requires that broker-dealer firms make reasonable efforts to identify a “trusted contact,” a person to contact if the firm has a concern that the client is incapacitated or is the target of a...
Efficient and Accurate Commission Accounting

Efficient and Accurate Commission Accounting

Get Your Ducks in a Row The Power of Data Aggregation and a Centralized Database Commission Data Aggregation Pandia supports a wide variety of standard sources of commission information including: National Financial, Pershing, Beta, First Clearing Corporation, NSCC,...