The Compliance Digest

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

To Pre-Approve or Not to Pre-Approve: What’s the Question?

In this article, we offer five tips to help reinforce the importance of having your representatives pre-disclose potential conflicts of interest. Read More

FINRA Releases 2019 Examination Priorities

While many of 2019’s focus areas are largely the same as in 2018 (sales practice risks, senior investors, cybersecurity, etc.), FINRA announced it is shifting its focus to include three new areas of concern. Read More

Rep Suspended for Failing to Complete Firm Element

According to FINRA’s February Disciplinary Actions Notice, a registered representative from Chesapeake, Virginia was assessed a deferred fine of $2,500, suspended from association with any FINRA member in all capacities for three months and required to complete 10 hours of continuing education for failing to complete his Firm Element continuing education. Read More

New Year Brings MSRB Advertising Rule Change

The rule changes, which take effect February 7, 2019, were designed to enhance the MSRB’s fair practice rules relating to advertising. Read More

FINRA Publishes New Cybersecurity Report

If FINRA’s recent cybersecurity report is any indication, Cybersecurity programs will be a top priority for the self-regulatory authority in 2019. Read More

SEC Releases Top Six Exam Priorities for 2019

The Report contains many of the same priorities that were included in the 2018 Examination Priorities but with an increased focus on digital assets. Read More

MSRB Keeps Watchful Eye on Retail Investor Risks

Find out which products and practices the MSRB says could adversely be impacting retail investors. Read More

The 25 Worst Passwords of 2018

Password-management company SplashData releases its annual list of the worst passwords of the year. Read More

FINRA-Exam-Findings

FINRA’s Top 14 Exam Findings from 2018

The Financial Industry Regulatory Authority recently released its annual exam findings, identifying improper activity that it wants to stop. Read More

NASAA Releases 2018 Enforcement Report

In 2017, NASAA U.S. members reported nearly $486 million ordered returned to investors and nearly $89 million in fines/penalties. Read More