Securities firms and the brokers who work for them have many rules and regulations that they must follow. How do you avoid problems with that?

Well, we can talk about this topic for a long time. I think that you can pass any test successfully and without problems if you do everything legally and do not hide anything. But I think you need to consult with experts.

Hey there! So, I came across an interesting article that talks about how securities firms can avoid scrutiny from FINRA in 2023. The article, which you can find at https://www.natlawreview.com/article/how-securities-firms-can-comply-ofac-2023-and-avoid-finra-scrutiny, provides some helpful tips on how to comply with OFAC regulations and avoid any unwanted attention from regulators. It's definitely worth a read if you work in the securities industry and want to stay on top of compliance issues. Check it out!