How to Apply Regulatory Element CE to IAR CE
With the introduction of FINRA's annual Regulatory Element CE requirement [...]
5
11, 2026
22
01, 2024
7 E-Learning Courses for Data Privacy Week
This week, January 27-31, is Data Privacy Week, an initiative [...]
12
01, 2024
FINRA Releases 2024 Regulatory Oversight Report
The Financial Industry Regulatory Authority (FINRA) recently released its 2024 [...]
12
01, 2024
FINRA Proposes Stricter Rules on Broker Borrowing and Lending
The Financial Industry Regulatory Authority (FINRA) has proposed a rule [...]
12
01, 2024
Social Media Investment Scams on the Rise
The Financial Industry Regulatory Authority (FINRA) recently issued an investor [...]
28
12, 2023
California Adopts IAR CE Requirement in 2024
The California Department of Financial Protection and Innovation (DFPI) has [...]
15
12, 2023
FINRA Issues Regulation Best Interest Notice
The Financial Industry Regulatory Authority (FINRA) recently published Regulatory Notice [...]
15
12, 2023
CE Under the Microscope: FINRA Shares Exam Findings
FINRA recently shared with the CE Council the most common [...]
30
11, 2023
The CE Sales Funnel: How to Use it to Your Advantage
The sales funnel. Just like its name indicates, a sales [...]
28
11, 2023
How to get my Wholesalers Approved to Offer IAR CE
Have you ever considered offering IAR CE credits at one [...]
