Risk Assessment and Evaluation

The Risk Assessment Quiz has been developed to give you a quick assessment of your risk profile. The questions are random and pull from a pool that covers some individual aspects of your choice of profession. If you find that the results you were expecting are different from your expectations then it may be time for you to take a proactive step towards increasing performance as it relates to your business. To begin your Risk Assessment Quiz Click the Link below

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It's A Trap

Read the latest article on BICE, the Best Investment Contract Exemption, is a trap.

FINRA Rule Filings

SR-FINRA-2023-010

November 21st

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to provide relief relating to specified option transactions un…

SR-FINRA-2024-019

November 21st

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adjust FINRA fees to provide sustainable funding for FINRA&…

SEC Proposed Rules

Exemption for Certain Investment Advisers Operating Through the Internet

July 26th

Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers

July 26th

@FArisk12

January 1, 1970

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Testimonials

On several occasions recently I needed answers to complex compliance questions fast. Each time I called Doug Schriner at faRiskManagement, and each time I received timely, authoritative answers without the frustrating "l'll get back to you later" responses I so often hear from others. Doug's depth and breadth of knowledge about compliance issues that impact my multi-disciplinary practice is amazing, and his ability to simplify cumbersome regulatory "legaleze" and integrate compliance issues from multiple financial arenas illustrates a firm grasp of his craft and marks him as a real professional. A relationship with Doug and faRiskManagement is well worth the cost of membership, especially in the currently expanding and sometimes hostile regulatory environment. Thanks, Doug, for providing access to professional advice for those of us who provide professional advice; and for answering your telephone. You've been a godsend!
Benny M. Turner, Founder and President
Turner Financial Group, Inc.