The Compliance Digest

Get expert compliance tips and up-to-date regulatory news.

How to Create an Effective Written Training Plan

Here are seven tips on how to design, develop and implement a successful written training plan, leading to more engaged representatives and the attainment of key compliance goals. Read More

FINRA Releases Video Series on Cybersecurity Pitfalls

In a three part video series, FINRA provides guidance on common deficiencies it has identified during its cybersecurity examinations of member firms. These failings include branch controls, data protection and password security and act as a to-do list of things broker-dealers should do to ensure their cybersecurity protocols are up to snuff. Read More

Common FINRA Exam Deficiencies for Small Firms

This article summarizes some of the most common rule violations for small firms, as outlined by FINRA regulators. Read More

20 Courses to Help you Celebrate Social Media Day!

In case you missed it, today is #NationalSocialMediaDay. In celebration of this #hashtag holiday, we’re highlighting a few of our most popular ‘Social Media’ and ‘Communications with the Public’ courses. Read More

Tips on How to Prepare for Your Next FINRA Exam

FINRA exams are challenging for everyone, however, there are several steps firms can take to better prepare for an onsite investigation. Read More

Key Takeaways from the FINRA Conference

More than 1,000 attendees and approximately 150 speakers attended FINRA’s annual conference back in May – including a team from Quest CE who took part in the three-day exhibitor fair. Read More

CE Council Releases Q2 2017 Firm Element Advisory

The Securities Industry/Regulatory Council on Continuing Education (Council) just recently published its Q2 2017 Firm Element Advisory (FEA). Read More

The DOL Rule is Going into Effect. Is Your Firm Ready?

As your firm’s Chief Compliance Officer, it’s crucial for you to make sure your firm is ready to comply with the new regulation and that your representatives are prepared to act in their clients’ best interest. Read More

Ten Benefits of Using an E-Learning Training Platform

[SLIDESHOW] Making the switch to an online training platform can be a big step, but it could save your firm from future headaches. Here are ten benefits for transitioning your live training methods to an all-in-one online compliance training platform. Read More

Spring Cleaning – Your Master Compliance Checklist

Approaching updates with a “housekeeping” frame of mind can help your organization make the minor adjustments it needs to meet any new requirements. Read More