An Electronic Communication Network (ECN) is a type of computerized system that facilitates trading financial products, such as currencies or stocks, by connecting buyers and sellers directly without ...

In light of the release of FINRA's "2019 Report on Examination Findings and Observations," it's worth discussing the rapidly growing compliance challenges and risks for financial institutions (FIs) in ...

As technology progresses, new communications are born and old ones-many of which seemed new not so long ago-fade away. When you're trying to connect with employees, colleagues, bosses, clients, ...

The ability to communicate information is one of the most powerful evolutionary advantages that humans have – if not the most powerful advantage – so why do we so often make a hash of it? The reality ...

Access methods are multiplexing techniques that provide communications services to multiple users in a single-bandwidth wired or wireless medium. Communications channels, whether they’re wireless ...

SEC examiners are concerned that the way mobile and personally owned communications devices are used by advisers pose challenges in their meeting obligations under the Books and Records Rule and the ...

On 7 February 2023, the U.S. Securities and Exchange Commission (SEC) Division of Examinations (the Division) released its 2023 examination priorities. As expected, the Division’s priorities highlight ...

Your small business is a full-time-plus job, requiring you to communicate with employees, customers and vendors all day long. If some conversations aren't going so well, you may be wondering, Am I ...