The Compliance Digest

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

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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

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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

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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

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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

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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

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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

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Firm Expelled and Fined $100K

A firm from Carrollton, Texas was expelled from FINRA membership and fined $100,000, while it’s CCO was fined $25,000, barred and suspended for three months. Read More

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FINRA’s “Top Five” Biggest Fines from 2016

According to a recent report conducted by Eversheds Sutherland, 2016 was a record shattering year for FINRA fines, surpassing last year’s total by 87% and breaking the previous record set back in 2014. Read More

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FINRA Requests Comment on Rule 2210

As part of FINRA’s retrospective review of its rules governing communications with the public, the self-regulatory authority is soliciting comment on proposed amendments to FINRA Rule 2210 (Communications with the Public). Read More

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FINRA Suspends Rep in Text Message Incident

According to this month’s FINRA disciplinary actions notice, a representative from New York, New York was assessed a deferred fine of $7,500 and suspended from association with any FINRA member in any capacity for 60 days due to the entry of findings that contrary to her member firm’s policies, she used the text-messaging function of a non-firm-issued smartphone to exchange business related messages with a customer. Read More