What better way to jump into a new compliance year then by recapping our top ten Firm Element courses from 2019? Read More

According to OCIE’s 2020 examination priority list, new investment advisors and those investment advisors registered but never examined prior, can expect a greater likelihood of examination in 2020. Read More

This year’s letter focused on broker-dealers’ compliance with the Securities and Exchange Commission’s (SEC) Regulation Best Interest (Reg BI) and the Customer Relationship Summary, or Form CRS. Read More

The California consumer privacy law takes effect on January 1, 2020. In this article, we discuss who it affects, key provisions of the act and ways your firm can prepare. Read More

According to FINRA’s November Disciplinary Actions Notice, a registered representative was fined $3,000, suspended for three months and ordered to attend and satisfactorily complete 10 hours of continuing education (CE) for failing to complete his Firm Element continuing education.  Read More

FINRA recently announced the consolidation of its three exam functions into a single, unified program—a process that began in October 2018. Read More

In fiscal year 2019 (which runs from October to September), the SEC reported a total of 862 enforcement actions, including 526 “standalone” actions filed in either federal court or as administrative proceedings, which was its highest number of standalone actions since 2016. Read More

Based on the retrospective rule review, which took place in April 2018, FINRA has decided to continue requiring broker-dealers to conduct an annual compliance meeting (FINRA Rule 3110(a)(7)). Read More

The 2019 Report focuses on a number of findings and observations, involving: sales practice and supervision; firm operations; market integrity; and financial management. Read More

With the holidays just around the corner, it's the perfect time for your company to review its gift and entertainment policies and procedures. Read More