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Regulatory Compliance Tag

FINRA’s Top Enforcement Issues in 2020
FINRA’s Top Enforcement Issues in 2020

Mar 25, 2021 | Risk and Compliance

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FINRA’s 2021 Examination and Risk Monitoring Program Report
FINRA’s 2021 Examination and Risk Monitoring Program Report

Feb 23, 2021 | Risk and Compliance

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Terrapin Technologies Launches Trade Surveillance Solution in partnership with Wintrust Wealth Management
Terrapin Technologies Launches Trade Surveillance Solution in partnership with Wintrust Wealth Management

Feb 4, 2021 | News

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Is Your Firm Prepared for Reg BI?
Is Your Firm Prepared for Reg BI?

Dec 30, 2020 | Risk and Compliance

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FINRA 2020 Risk Monitoring and Examination Priorities
FINRA 2020 Risk Monitoring and Examination Priorities

Mar 13, 2020 | Risk and Compliance

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Terrapin Technologies provides financial data and reporting solutions for broker-dealers and RIAs.

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7850 Metro Pkwy, Ste 320
Bloomington, Minnesota 55425
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