The Compliance Digest

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

10 Things to Know About NASAA’s New CE Rule

Have you heard about NASAA's new IRA continuing education requirement, but still have questions about when it will go into effect or what type of courses are required? We’ve got ten facts you need-to-know! Read More

Virginia Passes Consumer Data Protection Act

On March 2, 2021, Governor Northam signed the Virginia Consumer Data Protection Act (CDPA or the Act) making it the country’s second comprehensive data privacy legislation following California’s Consumer Protection Act of 2018 (CCPA). The law will go into effect on January 1, 2023. Read More

SEC Releases Top Eight Exam Priorities for 2021

On March 3, 2021, the Securities and Exchange Commission’s Division of Examinations (formerly the Office of Compliance Inspections and Examinations, now either “the Division” or “EXAMS”) announced its fiscal year 2021 examination priorities. Read More

How to Multiply your Reach with *Recorded* Webinars

Although it’s always the goal to fill the seats for you live webinar, the allure of your content shouldn’t stop after the live session. Keep the webinar top-of-mind by giving advisors the option to earn designation CE credit just for tuning into your recording. Read More

CFP Board Looks to Revise Sanction Guidelines

Do you hold the CFP Board's certification? If so, be prepared for future changes regarding the consequences of failing to comply with the CFP Board's Code of Ethics and Standards of Conduct. Read More

FINRA Releases 2021 Exam Priorities Letter

This year’s letter focused on broker-dealers’ compliance with Reg BI, Cybersecurity, Communications with the Public, Best Execution and much more! Read More

Do you have one of the “worst” passwords of 2020?

After analyzing 275,699,516 passwords leaked during 2020 data breaches, NordPass and partners found that the most common passwords are incredibly easy to guess - and it could take less than a second or two for attackers to break into accounts using these credentials. Read More

Celebrate Data Privacy Day with these Six Courses

Data Privacy Day aims to bring awareness to the general importance of privacy and serve as a reminder to organizations that privacy is an essential element for conducting business. As important as data privacy is, we thought we would honor the day by sharing some of our top privacy awareness and data protection courses. Read More

Six Need-to-Know Facts about the AML Act of 2020

The new year rings in the most significant changes in U.S. anti-money laundering (AML) law since the enactment of the USA PATRIOT Act and its implementing regulations in 2001. Read More

SEC Greenlights Modern Marketing Rule for IAs

The new rule (Marketing Rule) replaces two rules under the Advisers Act, rule 206(4)-1 (Marketing Rule), originally adopted in 1961, and rule 206(4)-3 (Solicitation Rule), originally adopted in 1979. The Marketing Rule reflects market, technological and regulatory changes that have occurred since the rules were originally adopted. Read More