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Amie Singer
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Leading Securities Brokerage Professionals
Leading Securities Brokerage Professionals

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Steps BDs and RIAs can take to make their cyber threat response plan more effective.
Its year-end and time once again to review the Cyber-security plan and Incident Response strategy. Certain steps will help make the cyber threat
response plan more effective whether you’re drafting the plan for the first
time or conducting a review to impro...
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#Cybersecurity #Webinar hosted by #NSCP - Natl Soc. of Compliance Prof | Actionable ideas to evaluate risk and combat threats. C-level diagnostics and plans to expose vulnerabilities. Register online before Dec 6 2016 http://bit.ly/2fPwYmq

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Cybersecurity webinar for financial firms December 6 2016. Hosted by FINRA Compliance Consultants RND Resources and IT Experts from RSM Alliance. Topic includes SEC regulatory cybersecurity guidelines for Fintech firms. Register online - Free http://bit.ly/2fPwYmq

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Register for the Dec 6 2016 #cybersecurity #webinar Hosted by RND Resources #Compliance #consulting firm with #ITexperts from RSM Alliance - Get actionalble ideas to assess risk and evaluate your firms ability to combat cyberattack http://bit.ly/2fPwYmq

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#Cybersecurity #webinar for financial advisory firms, RIA, Fund Managers, and more. Evaluate risk to strengthen governance. Cover SEC cyber-governance requirements. Register online #free http://bit.ly/2fPwYmq

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Rule 2080 - #Expunge disputed records from #Brokercheck
Need to remove false or disputed claims from FINRA #brokercheck ? Our recent post includes tips to help registered brokers get erroneous claims removed using FINRA #Rule2080 - Expungement If you’re an advisor with a frivolous customer claim against
you, you...
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#expunge  disputed or false claims against your broker-dealer brokercheck record. Rule 2080 is designed to do just that. http://bit.ly/2bzwnzJ
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Many Broker dealer representatives are worried about the impact of disputed or false claims appearing on FINRA brokercheck. They may be able to get a solution under FINRA Rule 2080 - Expungement of disputed claims.

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Broker dealer representatives worried about the impact of disputed or false claims appearing on FINRA brokercheck may be able to get a solution under FINRA Rule 2080 - Expungement of disputed claims

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Planning for Success: Startup RIA Tips (Part 1)
RND Resources specializes in assisting startup RIA firms complete the process of submitting an application to the SEC or state registry. Over the years we have seen a number of complications due to lack of understanding of the RIA formaiton process and poor...
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