The Compliance Digest

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

Six Tips for Making a Safe Return to Classroom CE

While the threat of the pandemic isn’t completely behind us, many advising firms and their wholesalers are eager to find ways to safely resume in-person meetings. As you start to plan out future CE events, safety needs to be a top priority. Here are six things organizations should consider when planning for a return to classroom CE events. Read More


Representative Barred from FINRA for Cheating on CE

According to a recent FINRA disciplinary actions notice, a registered representative from Montpelier Virginia was barred from any FINRA member in all capacities for using an imposter to take his continuing education courses for him. Read More

Four KPIs to Measure the Success of your CE Program

A robust CE program comes with its fair share of data, which can sometimes make it tricky to pinpoint the program’s key performance indicators (KPIs) that lead to ROI. To clear up some of the confusion, we’re listing the top four KPIs you should reference when tracking the success of your CE program. Read More

How Firms are Capitalizing on Virtual “CE” Roadshows

Virtual tradeshows are optimized to keep conversations, ideas, and engagement flowing constantly. They prioritize the needs of the attendees and turn one-off on-site events or webinars into recurring virtual experiences where you can educate and sell year-round. Read More

Five Tips for Making Your Webinars Stand Out

As webinar invites continue to fill advisor’s inboxes, it’s more important than ever to make your presentation stand out from the pack. To help rack up more registrations for your next webinar, consider the following tips. Read More

Cards Vs. Codes: Learn About Different Voucher Types

With CE vouchers wholesalers can incentivize advisors to attend sales meetings, fill out website forms, download content, and so much more. One thing that many firms don’t know about CE vouchers, is that there are several options delivery methods available. In this article, we talk about the three types of CE vouchers firms can utilize. Read More

Three Reasons Why Firms Choose Super CE

As a highly sought-after continuing education (CE) delivery method, Super CE is the perfect addition to any firm’s sales strategy. Although many firms have been utilizing Super CE for a long time, others who are less familiar with it have been missing out on this unique opportunity. So, if you’re someone who has been on the fence about adding Super CE to your sales strategy, here are three reasons to help get you over the hurdle. Read More

Five CE Methods for Each Stage of the Sales Funnel

In this article, we share how the various continuing education (CE) delivery methods can be utilized to attract advisors at all stages of the sales funnel. Is your goal to attract more leads? Convert more new business? Or retain loyal customers? No matter where they are in their buyer journey, we have the tools you need to transition cold leads into brand loyalists.  Read More

“Spring Clean” Your CE Program with These Four Tips

QuestTrak is the perfect tool for organizing, managing, implementing, and tracking all things related to your firm’s continuing education (CE) program. However, like your home, your account may need a good “spring cleaning” every now-and-again. Not only that, but this time of year is perfect for getting your account prepped for any upcoming CE events. Read More

10 Things to Know About NASAA’s New CE Rule

Have you heard about NASAA's new IRA continuing education requirement, but still have questions about when it will go into effect or what type of courses are required? We’ve got ten facts you need-to-know! Read More