FINRA spent the summer cracking down on ill-fated brokers, including those who allegedly defrauded their vulnerable clients. In this article, we spotlight three of those incidents. Read More

If you’re sitting there thinking to yourself “well, that’s just one less thing our compliance team has to worry about this year,” I may urge you to reconsider. Gift and entertainment-related risks haven’t gone away, they’ve just evolved, and so too will your policies and procedures to keep pace. Read More

What lessons can we bestow on the MLB's new compliance officers? In this article, we share several truths to running a successful compliance program. Read More

New research by FINRA shows that registered firms and representatives continue to decline and that far less representatives are joining the industry. Read More

FINRA is warning the public of an imposter website that uses a domain name nearly identical to that of FINRA's, but contains an extra "n". Read More

The SEC has issued a risk alert on the COVID-19-related risks, issues, and challenges faced by investment advisors and broker-dealers. Read More

Delivering continuing education via webinar doesn’t have to be difficult, so long as you pick the software best suited for your firm. To help, we’ve identified five things that need to be taken into consideration when selecting a webinar platform. Read More

This article summarizes the DOJ's recently edited “Evaluation of Corporate Compliance Programs” (2020 Guidance). Read More

The SEC is warning advisors and broker-dealers to immediately review their cybersecurity controls, as phishing and ransomware attacks are on the rise. Read More

According to FINRA's podcast, initial reviews will focus on whether firms have put in place policies, procedures and training. Read More