by Patrick M. Kelly | Mar 16, 2012 | FINRA, Technology
FINRA hopes to eliminate administrative delays in the filing by firms of continuing membership applications. When a broker-dealer has an operation, change of ownership, or control change, they are required to file a continuing membership application (the 1017 process)...
by Patrick M. Kelly | Dec 13, 2011 | Technology
Last week, sixty UBS Wealth Management Americas financial advisors began a three month test drive of the “UBS FA Mobile” a byproduct of a collaboration between the firm and FrameHawk, a San Francisco-based developer of mobile applications. The application is...