FINRA Addresses Exam Cheating at Board Meeting
A recent influx of cheating scandals at testing centers has prompted FINRA to create new procedures on how to identify, and eliminate, cheating in the future. Read More
FINRA Releases New Problem Codes & AI White Paper
In this article we recap FINRA’s new white paper on artificial intelligence and the addition of two new "problem codes" to report customer complaint information. Read More
MSRB Proposes Rule Changes to Align with Reg BI
Both FINRA and the MSRB have proposed several rule changes to better align their regulation with the SEC's Regulation Best Interest ("Reg BI"). Read More
Five Myths about Taking your ACM Online
If you’re one of these people thinking about taking your live meeting online, but are a bit hesitant, this article helps dispel some common misconceptions we’ve encountered when firms are considering the transition to our on-demand compliance meeting solution. Read More
Don’t Fall Victim to this FINRA Phishing Scam
FINRA is warning firms to beware of a recent phishing scheme that involves fraudulent emails that claim to be from FINRA officers. Read More
Tips to Maintain a *Remote* Culture of Compliance
In this article, we offer three tips to strengthen the foundation of your culture of compliance, while working remote. Read More
CE Council Releases Q1 2020 Firm Element Advisory
Find out which regulatory topics the Council on Continuing Education (CE Council) recently published in its Q1 2020 Firm Element Advisory (FEA).
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What you Need to Know about FINRA’s CE Proposal
If you're involved in CE oversight at your firm, the following article summarizes FINRA's proposal to enhance it's continuing education program for securities professionals. Read More
FINRA Urges Firms to Review Pandemic-Related BCP
Due to the recent outbreak of coronavirus disease (COVID-19), FINRA has issued a notice reminding firms to consider business continuity planning in the event of a pandemic in the United States. Read More
FINRA’s Top Five Fine Categories from 2019
According to the report, FINRA fines decreased to $44 million in 2019 from $61 million in 2018, a decline of 28%. Read More
