The Compliance Digest

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

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

Are your Gift & Entertainment Policies Holiday Ready?

With the holidays just around the corner, it's the perfect time for your company to review its gift and entertainment policies and procedures. Read More

What you Need to Know about FINRA’s ACM Rule

Still need to comply with FINRA's annual compliance meeting requirement in 2018? Provided in this article is a summary of the rule and how to comply. Read More

Making a Fourth Quarter Compliance Comeback

While the compliance comeback is no easy feat, I’m here to tell you that there’s still time, and by following the below training tips you can have your program up and running before the play clock expires. Read More