The Compliance Digest

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

“Top 10” Firm Element Courses in 2018 (So Far)

At Quest CE, there is no shortage of continuing education courses. The difficult question is determining which training is best suited for your firm. In this article, we outline our top 10 most popular Firm Element courses in 2018, thus far. Read More

FINRA Registered Firms/Reps Continue to Decline

The number of brokers and brokerage firms has declined significantly over the years, according to statistics released by FINRA last week. Read More

Quest CE Releases Online Knowledge Base Center

In today’s connected world, nobody simply “wants” easy access to helpful information. We demand it. Heck, we expect it. That’s why we’re excited to add a Knowledge Base Center to our compliance management system, Renaissance. Read More

FINRA Urges Firms to Disclose Digital Asset Activities

On July 6, 2018, FINRA released Regulatory Notice 18-20, which encourages member firms to promptly notify FINRA of the firm or its associated persons intend to engage in activities involving digital assets, such as cryptocurrencies and other virtual coins and tokens. Read More

SEC Proposes Limit on Whistleblower Payouts

The SEC is looking to limit whistleblower payouts after doling out tens of millions of dollars in a recent case. The SEC voted 3-2 to propose a limit after an $83 million award was given back in March to three informants – the largest payday in the history of the SEC’s whistleblower program. Read More

CE Council Releases 2018 Q2 Firm Element Advisory

In this article, we identify regulatory and sales practice topics the CE Council recommends firms consider in their 2018 Firm Element training plans. Read More

Top Takeaways from the 2018 FINRA Conference

Each year, the FINRA annual conference gathers together a diverse network of compliance professionals and provides them with the opportunity to discuss the latest regulatory developments and FINRA priorities. Provided in this article are highlights from the conference. Read More

Rep Fined $20K for Blockchain-Related OBA

A registered representative from Montrouge, France was fined $20,000 and suspended from association with any FINRA member in all capacities for two years due to the entry of findings that he engaged in an outside business activity involving blockchain technology without providing prior notice to his member firm. Read More

Halfway Through the Year, Halfway to Compliance?

This article walks you through great tips on how to prioritize work and meet those end-of-year compliance deadlines. Read More

SEC Launches Investor Protection Search Tool

Move over BrokerCheck – the SEC has recently launched an online search feature that enables investors to research whether the person trying to sell them investments has a judgement or history of enforcement actions. Read More