FINRA’s 2017 Risk Control Assessment (RCA) survey has been launched. Each firm’s executive representative and designated assistant should have received an email linking to their firm’s unique RCA survey. The … Continue reading 2017 FINRA Risk Control Assessment ( RCA)
FINRA’s 2016 Risk Control Assessment (RCA) survey launched earlier this month, when each firm’s executive representative was sent an email linking to their firm’s unique RCA survey. The RCA is … Continue reading FINRA 2016 Risk Control Assessment Due
FINRA has extended the deadline to complete the 2015 Risk Control Assessment Survey(RCA) to July 31, 2015. The RCA is a survey that FINRA uses to better understand the business activities in … Continue reading FINRA Extends Deadline for 2015 Risk Control Assessment
FINRA has extended the deadline to complete the voluntary 2015 Risk Control Assessment (RCA) survey to July 31, 2015.
The 2015 Risk Control Assessment (RCA) which was issued on June 22. FINRA has requested that the survey be completed by Friday, July 17, 2015.
The LeGaye Law Firm wants to advise you that FINRA launched the 2015 Risk Control Assessment (RCA) survey on June 22. Each firm’s executive representative received an email linking to … Continue reading FINRA Launches 2015 Risk Control Assessment