The Compliance Digest

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

FINRA Tackles What’s Next for Reg BI in New Podcast

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

23 Courses to Help you Celebrate Social Media Day!

To help you celebrate National Social Media Day, we highlighted some of our top social media and communications courses, all of which are great options to include in your 2020 training plans. Read More

FINRA Addresses Exam Cheating at Board Meeting

A recent influx of cheating scandals at testing centers has prompted FINRA to create new procedures on how to identify, and eliminate, cheating in the future. Read More

FINRA Releases New Problem Codes & AI White Paper

In this article we recap FINRA’s new white paper on artificial intelligence and the addition of two new "problem codes" to report customer complaint information. Read More

MSRB Proposes Rule Changes to Align with Reg BI

Both FINRA and the MSRB have proposed several rule changes to better align their regulation with the SEC's Regulation Best Interest ("Reg BI"). Read More

Eight Tips for Running a Successful Webinar CE Event

Whether you’re one of the many companies already capitalizing on webinar CE, or are simply looking for more information on how to get started, this article is your all-access pass to helping you get the most out of this newly sought-after delivery format.  Read More

How to Leverage Marketing Content for Online CE

In this article, we'll tell you how you can tie continuing education into your content marketing materials to easily convert some of your web traffic.
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Five Myths about Taking your ACM Online

If you’re one of these people thinking about taking your live meeting online, but are a bit hesitant, this article helps dispel some common misconceptions we’ve encountered when firms are considering the transition to our on-demand compliance meeting solution. Read More

The Top 10 Firm Element Courses of the Year

We were curious to know which of our Firm Element courses are leading the pack through the first few months in 2020. In this article, we feature the top 10 courses that are being delivered so far this year. Read More

Don’t Fall Victim to this FINRA Phishing Scam

FINRA is warning firms to beware of a recent phishing scheme that involves fraudulent emails that claim to be from FINRA officers. Read More