The SEC’s exam division recently released a Risk Alert detailing the top six compliance failures relating to fees and expenses charged by investment advisors, as identified through client deficiency letters. Read More

The sanction was based on findings that the CCO directed a registered representative of his member firm to solicit backdated outside business activity and private securities transaction forms and then submitted the forms to FINRA examiners without disclosing the backdating of the forms. Read More

Senator Elizabeth Warren wants regulators to make sure Wall Street isn’t dodging the #MeToo movement. Last month, the Massachusetts Democrat and two other senators asked FINRA and the SEC for data on the prevalence of sexual harassment abuse in the industry. Read More

While fines issued by FINRA may have dropped significantly in 2017, according to Eversheds Sutherland’s annual report, 2017 was a record shattering year for restitution, resulting in the fourth highest total sanctions assessed by FINRA over the past 10 years. Read More

In this blog, we’ll look at three key performance indicators (KPIs) that can provide data to back up the value of your training program. Read More

To assist firms in complying with the MSRB's new continuing education regulation, provided is a brief overview of the newly enforced rule, how it compares to FINRA’s Firm Element requirement and best practices to comply. Read More

The SEC's Office of Compliance Inspections and Examinations (OCIE) has published its 2018 examination priorities. To no one’s surprise, it will continue to focus on the protection of retail investors and ensuring that registrants are appropriately disclosing or resolving conflicts of interest. Additionally, the OCIE will pay particular attention to developments in cryptocurrencies, initial coin offerings (ICOs) and the oversight of FINRA and MSRB firms. Read More

With over 450 training courses to choose from, have you ever wondered which of our training courses are most assigned, across markets? After analyzing thousands of user accounts, provided is a ranked list of our “top 10” most popular courses from 2017. Read More

Earlier this month, FINRA released its annual regulatory and examination priorities letter, which drew on some reoccurring issues firms should pay close attention to in 2018, including high-risk brokers, fraud and cybersecurity. Additionally, the regulator flagged several uncharted areas of focus, including cryptocurrencies, securities-backed lines of credit and business continuity planning. Read More

For many of us, New Year’s resolutions are grandly made and easily broken. Why? Because a resolution is just that – a decision. To make actual change in your personal or professional life, you need a lot more than a decision, you need a plan. Read More