DOJ Circles Back on Corporate Compliance Programs
In a speech on September 15, 2022, Deputy Attorney General [...]
19
09, 2022
16
09, 2022
CE Council Releases Firm Element Quarterly Highlights
The Securities Industry/Regulatory Council on Continuing Education (Council) recently released [...]
11
08, 2022
Eight Takeaways from the SEC’s Recent Reg BI Bulletin
Additional clarifying guidance has been released by the Securities Exchange [...]
11
08, 2022
FINRA Moves in on Digital Signature Fraud
Digital signature tools have become a go-to resource for many [...]
18
07, 2022
FINRA Bars Reps Indefinitely for Online Exam Cheating
The Financial Industry Regulatory Authority (FINRA) has permanently barred two [...]
18
07, 2022
Reg BI Cracks FINRA’s Top 15 Claims Against Brokers
The first half of the year has officially come to [...]
21
06, 2022
How to Launch your QCE Program
In this webinar, we share several tips for launching your [...]
20
06, 2022
Four Reg BI Takeaways from the 2022 FINRA Conference
It’s hard to believe that two years ago the SEC’s [...]
20
06, 2022
SEC Charges Firm/Reps with Multiple Reg BI Infractions
The Securities and Exchange Commission (SEC) recently charged a California-based [...]
20
06, 2022
Are you Prepared for FINRA’s CE Transformation?
Since 2018, FINRA and the CE Council have been working [...]
