Published on Aug 12th, 2021 | Posted in Articles

 

Whitepapers | FINRA

 

One of Vigilant’s Directors, Deane Armstrong, created a Whitepaper discussing issues raised by the recent FINRA Acceptance, Waiver, and Consent (AWC) letter of a Firm cited for MSRB Violations.

This Whitepaper goes into detail on the AWC letter that was signed by a firm regarding alleged violations of MSRB Rules 13, 17, and 27.

Want to learn more about the Whitepaper regarding the concerns and findings from FINRA?

Click here to download Vigilant’s Whitepaper!

 

 

What is Vigilant and what do they have to offer?

Vigilant is a full-service Investment Management Solutions Firm.

Vigilant offers core solutions that you can find here:

  • Compliance Solutions
    • Investment Adviser
    • Mutual Fund
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    • Hedge Funds
    • Exchange Traded Funds
    • Broker Dealer