The Compliance Digest

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

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