The Compliance Digest

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

Continuing Education Guidance in a Remote World

When unforeseen events arise, “business as usual” can be thrown for a loop. So in a time when organizations across the world are adjusting to remote work, it’s become even more important for companies to adopt digital strategies to stay connected with their customers. Read More

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

Reach Every Advisor by Diversifying your CE Delivery

As an insurance provider, you know how impactful it can be to offer complementary continuing education (CE) to the advisors you work with, but are you also aware of the different ways in which CE can be delivered to attract various types of learners? Read More

SEC Offers Tips to Bolster Firms’ Cybersecurity Plans

The OCIE's "Cybersecurity and Resiliency Observations" goes into significantly more detail than previous risk alerts released on the topic and is formatted in a user-friendly format that allows firms to easily reflect on their own cybersecurity practices. Read More

California Releases “Redlines” to CCPA Regulation

California’s attorney general has released “redlines” to its Consumer Privacy Act, which holds an enforcement date of July 1, 2020. Read More

The 25 Most Hacked Passwords of 2019

Find out if your password is on the list of "most hacked passwords from 2019." Hint, if you're using "password," you should stop immediately. Read More

FINRA & SEC Exam Priority-Inspired Course Options

To help you get a jump start on planning your compliance training calendar for the year, we’ve identified ten fan-favorite courses from our catalog that correlate with the areas of risk identified in this year’s priorities letters. Read More

Top 10 Firm Element Courses from 2019

What better way to jump into a new compliance year then by recapping our top ten Firm Element courses from 2019? Read More