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Understanding FINRA Rule 4111 & Restricted Firms | CXG LLC

FINRA Rule 4111 - Making Misconduct More Expensive for Small Firms In an effort to further clamp down on firms who have a history of “serious misconduct, ”FINRA enacted Rule 4111 (the “Rule”) on January 1, 2022, which adds new restrictions to such member firms. Starting June 1, 2022, FINR...

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Understanding FINRA Rule 4111 & Restricted Firms ...

FINRA Rule 4111 - Making Misconduct More Expensive for Small Firms In an effort to further clamp down on firms who have a history of “seriou...

Start a Crypto Exchange or ICO Using an ATS...

Starting a Crypto Exchange or ICO? The regulatory landscape for blockchain, cryptocurrencies, and digital assets alike has changed drastically...

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Broker-Dealers under Scrutiny for Selling VIX-related Products If you’re like most broker-dealer executives, you wear many hats. Some...

FINRA’s New Small Firm Broker-Dealer Helpline...

FINRA's New Small Firm Broker-Dealer Helpline If you’re like most broker-dealer executives, you wear many hats. Sometimes owners are driving...

Understanding FINRA ...

FINRA Rule 4111 - Making Misconduct More Expensive for Small Firms In an effort to further clamp down on firms who have a history of “seriou...

Start a Crypto Excha...

Starting a Crypto Exchange or ICO? The regulatory landscape for blockchain, cryptocurrencies, and digital assets alike has changed drastically...

What is a Shell Brok...

Shell Broker-Dealers and the Process of Buying a Shell BD It is common knowledge that transactions in the securities industry are highly regulat...

Social Media & ...

Social Media & Finra Requirements for Broker-Dealers In a world of evolving social media sites, it is difficult for Broker-Dealers to find...

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[vc_row][vc_column][vc_column_text] Broker-Dealers under Scrutiny for Selling VIX-related Products If you’re like most broker-dealer execut...

FINRA’s New Sm...

FINRA's New Small Firm Broker-Dealer Helpline If you’re like most broker-dealer executives, you wear many hats. Sometimes owners are driving...

Understanding FINRA ...

FINRA Rule 4111 - Making Misconduct More Expensive for Small Firms In an effort to further clamp down on firms who have a history of “seriou...

Start a Crypto Excha...

Starting a Crypto Exchange or ICO? The regulatory landscape for blockchain, cryptocurrencies, and digital assets alike has changed drastically...

What is a Shell Brok...

Shell Broker-Dealers and the Process of Buying a Shell BD It is common knowledge that transactions in the securities industry are highly regulat...

Social Media & ...

Social Media & Finra Requirements for Broker-Dealers In a world of evolving social media sites, it is difficult for Broker-Dealers to find...

Broker-Dealers under...

[vc_row][vc_column][vc_column_text] Broker-Dealers under Scrutiny for Selling VIX-related Products If you’re like most broker-dealer execut...

FINRA’s New Sm...

FINRA's New Small Firm Broker-Dealer Helpline If you’re like most broker-dealer executives, you wear many hats. Sometimes owners are driving...

Understanding FINRA ...

FINRA Rule 4111 - Making Misconduct More Expensive for Small Firms In an effort to further clamp down on firms who have a history of “seriou...

Start a Crypto Excha...

Starting a Crypto Exchange or ICO? The regulatory landscape for blockchain, cryptocurrencies, and digital assets alike has changed drastically...

What is a Shell Brok...

Shell Broker-Dealers and the Process of Buying a Shell BD It is common knowledge that transactions in the securities industry are highly regulat...

Social Media & ...

Social Media & Finra Requirements for Broker-Dealers In a world of evolving social media sites, it is difficult for Broker-Dealers to find...

Broker-Dealers under...

[vc_row][vc_column][vc_column_text] Broker-Dealers under Scrutiny for Selling VIX-related Products If you’re like most broker-dealer execut...

FINRA’s New Sm...

FINRA's New Small Firm Broker-Dealer Helpline If you’re like most broker-dealer executives, you wear many hats. Sometimes owners are driving...