The Compliance Digest

Get expert compliance tips and up-to-date regulatory news.

FINRA Files First Cryptocurrency Disciplinary Action

Investors mined more than 81 million HempCoin through late 2017 and bought/sold the security on two cryptocurrency exchanges, according to FINRA. Read More

CE Council/FINRA Request Comment on CE Program

The Securities Industry/Regulatory Council on Continuing Education (CE Council) is seeking comment on enhancements under consideration for the continuing education requirements for registered persons. Read More

Deadline Nears for NY Sexual Harassment Training

For years, fewer than a handful of states in the United States have required sexual harassment training. Connecticut and California were the leaders. However, in light of the #MeToo movement, New York State and New York City have joined the movement and now require sexual harassment training. Read More

How to Improve your WSP’s Usability

To increase employee compliance, we’ve outlined several tips to strengthen your internal policies and procedures management process. Read More

“Top 10” Firm Element Courses in 2018 (So Far)

At Quest CE, there is no shortage of continuing education courses. The difficult question is determining which training is best suited for your firm. In this article, we outline our top 10 most popular Firm Element courses in 2018, thus far. Read More

FINRA Registered Firms/Reps Continue to Decline

The number of brokers and brokerage firms has declined significantly over the years, according to statistics released by FINRA last week. Read More

Quest CE Releases Online Knowledge Base Center

In today’s connected world, nobody simply “wants” easy access to helpful information. We demand it. Heck, we expect it. That’s why we’re excited to add a Knowledge Base Center to our compliance management system, Renaissance. Read More

FINRA Urges Firms to Disclose Digital Asset Activities

On July 6, 2018, FINRA released Regulatory Notice 18-20, which encourages member firms to promptly notify FINRA of the firm or its associated persons intend to engage in activities involving digital assets, such as cryptocurrencies and other virtual coins and tokens. Read More

SEC Proposes Limit on Whistleblower Payouts

The SEC is looking to limit whistleblower payouts after doling out tens of millions of dollars in a recent case. The SEC voted 3-2 to propose a limit after an $83 million award was given back in March to three informants – the largest payday in the history of the SEC’s whistleblower program. Read More

CE Council Releases 2018 Q2 Firm Element Advisory

In this article, we identify regulatory and sales practice topics the CE Council recommends firms consider in their 2018 Firm Element training plans. Read More