The Compliance Digest

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

FINRA-Registered Firms, Reps Continue to Decline

New research by FINRA shows that registered firms and representatives continue to decline and that far less representatives are joining the industry. Read More

FINRA Warns Firms of Copycat Website

FINRA is warning the public of an imposter website that uses a domain name nearly identical to that of FINRA's, but contains an extra "n". Read More

SEC Highlights Risks to Firms Due to COVID-19

The SEC has issued a risk alert on the COVID-19-related risks, issues, and challenges faced by investment advisors and broker-dealers. Read More

Five Qualities to Look for in a Webinar CE Platform

Delivering continuing education via webinar doesn’t have to be difficult, so long as you pick the software best suited for your firm. To help, we’ve identified five things that need to be taken into consideration when selecting a webinar platform. Read More

DOJ Edits Guidance for 2020 Compliance Programs

This article summarizes the DOJ's recently edited “Evaluation of Corporate Compliance Programs” (2020 Guidance). Read More

Ransomware

SEC Releases Alert on Ransomware Attacks

The SEC is warning advisors and broker-dealers to immediately review their cybersecurity controls, as phishing and ransomware attacks are on the rise. Read More

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