In an effort to help its members achieve compliance with the FTC's Red Flags Rule (part of the FACT Act), FINRA has prepared a basic template for a broker-dealer's policy and procedures for the Rule. The template can be found online at FINRA's webpage on the FTC Red Flags Rule here. Firms that are interested in using this template should be cautious to ensure that they fully review and modify the template procedures as needed to fit the business of the firm, that they understand it, and, of course, that they follow whatever procedures they adopt.
Joel Beck
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- Joel Beck, a former NASD Department of Enforcement lawyer, formed The Beck Law Firm, LLC in 2007. Joel's practice primarily focuses on representing broker-dealers, stockbrokers and investment advisers in disciplinary investigations and actions, customer complaints, arbitration claims and civil litigation, as well as representing investors in securities arbitration claims. Joel has been designated a Certified Regulatory and Compliance Professional (CRCP) by the NASD Institute at the Wharton School of Business, University of Pennsylvania. Click on the link above to visit our website and learn more.
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