The Compliance Digest

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

Four Factors for Creating a Successful 2021 CE Budget

After what can only be described as a “pivot year” for a lot of companies, 2021 gives you chance to get your budget and annual plan back on track. So, as you sit down and start planning out your continuing education (CE) budget for the year, we encourage you to take four factors into consideration. Read More

Part 3: CE Council Releases Guide on Training Plan

The CE Council recently released a guide to Firm Element Continuing Education Program, which outlined three major areas to developing an effective CE program. This blog is intended to cover the written training plan, the second component of an effective CE program. Read More

Part 2: CE Council Releases Guide on Needs Analysis

The CE Council recently released a guide to Firm Element Continuing Education Program, which outlined three major areas to developing an effective CE program. This blog is intended to cover the Needs Analysis requirement, the first step in developing a Firm Element program is to analyze a firm's training needs. Read More

Part 1: CE Council Releases Guide on Firm Element

The CE Council recently released a guide to Firm Element Continuing Education Program, which outlined three major areas to developing an effective CE program. This blog is intended to cover the Firm Element requirement, in general, to help generate ideas for producing an effective Firm Element program. Read More

NASAA Adopts CE Rule for Investment Advisers

On November 24, 2020, the North American Securities Administrators Association (NASAA) announced that its membership has voted to adopt a model rule to set parameters by which NASAA members could implement continuing education programs for investment adviser representatives in their jurisdictions. Read More

FINRA Conducts Targeted Exam of Fund Fee Waivers

The Financial Industry Regulatory Authority is conducting targeted exams of firms’ systems and procedures as it relates to providing mutual fund discounts or fee waivers to clients. Read More

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

FINRA-renewal

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