The Compliance Digest

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

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

Four Tips to Deliver a Stellar Compliance Meeting

Have you ever rolled out your annual compliance meeting and when it was all over and done with you said to yourself . . .  “I wish that went better”? Never fear.  The goal of this article is to give you specific, actionable ways to prepare for the delivery of your best annual compliance meeting ever. Read More

What you Need to Know about FINRA’s ACM Rule

Still need to comply with FINRA's annual compliance meeting requirement in 2018? Provided in this article is a summary of the rule and how to comply. Read More

Your Case for E-Learning: Adult Learning Retention

As part of a firm’s annual obligations, firms must conduct an annual compliance meeting for all supervised representatives. These required meetings serve as a way to keep registered representatives current on changing compliance requirements or changes in the firm while addressing current and impending compliance training responsibilities. Read More