The Compliance Digest

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

3 Reasons to Deliver Webinar Continuing Education

In this article, we break down the top three reasons webinar CE has become increasingly popular and discuss how this sales strategy can help move your business forward. Read More

SEC Ends FY19 with $4.3B in Penalties/Disgorgement

In fiscal year 2019 (which runs from October to September), the SEC reported a total of 862 enforcement actions, including 526 “standalone” actions filed in either federal court or as administrative proceedings, which was its highest number of standalone actions since 2016. Read More

FINRA to Keep Annual Compliance Meeting Rule

Based on the retrospective rule review, which took place in April 2018, FINRA has decided to continue requiring broker-dealers to conduct an annual compliance meeting (FINRA Rule 3110(a)(7)). Read More

FINRA Releases Third Annual Exam Findings Report

The 2019 Report focuses on a number of findings and observations, involving: sales practice and supervision; firm operations; market integrity; and financial management. 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

Measure ROI to Learn the Value of Continuing Education

As a sales or marketing expert, you know how important it is to be able to showcase the return on investment (ROI) for each marketing/sales push you do, but you don’t always have the right strategy for figuring this out. Read More

SEC Adopts Rule to Make ETFs “More Accessible”

The SEC announced it has voted to adopt a new rule and form amendments designed to modernize the regulation of ETFs. 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

FINRA Publishes Guidance on Reg BI and Form CRS

FINRA has issued new resources to assist financial firms in their efforts to comply with the SEC’s Reg BI and Form CRS by the rules’ compliance date of June 30, 2020. Read More

10 FAQs on How to Handle Customer Complaints

In this article, we’ll highlight some frequently asked questions when it comes to identifying and reporting customer complaints. Read More