The Compliance Digest

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

SEC Flags Multi-Branch Office Compliance for RIAs

The SEC’s Office of Compliance Inspections and Examinations recently published an alert summarizing its exams of investment advisers operating out of multiple locations. Read More


Your “Cheat Sheet” for 2021 FINRA Renewals

While it may be hard to believe, 2020 is already coming to a close, which means broker-dealers and investment advisors’ 2021 Renewal Programs are officially underway. Read More

Jazz Up your CE-asons Greetings with Voucher Cards

The holiday season is just around the corner! You know what that means? It’s time to start brainstorming ways to let your clients and prospects know you’re thinking of them. With many advisors continuing to work from home through the holidays, have you thought about how you're going to reach out this year? Read More

Five Things to Know About Webinar CE Polling

When it comes to delivering webinar CE, some clients miss the mark on complying with state polling requirements. To help clear up the confusion, we’re breaking down five important polling facts that you should be aware of before hosting your next Webinar CE event. Read More

Cybersecurity Awareness Month: Spotlight on Training

Held every October, National Cybersecurity Awareness Month is a great time for your compliance team to focus on educating staff. Read More

Are you Doing This One Thing on your Form CRS?

The Securities and Exchange Commission (SEC) has released updated frequently asked questions guidance on the customer relationship summary, or Form CRS, that narrows in on a very specific area of disclosure - your firm’s disciplinary history. Read More

NASAA’s Annual Report Indicates Rise in Enforcement

In its 2020 Enforcement Report, NASAA reported that state securities regulators conducted 6,525 investigations in 2019, up 23 percent from the year before, and took 2,755 enforcement actions, up 33 percent from 2018. Read More

Why CCOs Can’t Ignore This Cybersecurity Month

The level of successful cyberattacks on financial institutions has shocked many over the past few weeks. In this article, we discuss why CCOs need to be focused on cybersecurity best practices, as well as some popular training topics to offer your firm members this year. Read More

FINRA Releases Q3 2020 Firm Element Advisory

The Securities Industry/Regulatory Council on Continuing Education (Council) publishes a quarterly Firm Element Advisory (FEA) to highlight current regulatory and sales practice topics for possible inclusion in Firm Element training plans. Read More

One Hack That Will Improve Your Virtual Conferences

With so many conferences and events going online, it can be difficult to get attendees on board. The feeling of “been there, done that” always lingering. Now, more than ever, companies need to get creative. So, how do you impress your attendees? Read More