Listen, learn and transform the ideas of our clients into truly superior products and services. That’s the goal we set when we launched the User Advisory Group webinar series at the start of 2019, and that’s the mantra we’ve followed to get our system to where it is today. Read More

The Securities Industry/Regulatory Council on Continuing Education (Council) publishes the Firm Element Advisory (FEA) to highlight current regulatory and sales practice topics for possible inclusion in Firm Element training plans. Read More

KPMG has agreed to pay a $50 million penalty and hire an independent consultant to assess the firm's ethics and integrity controls as well as its compliance. Read More

The Securities Industry/Regulatory Council on Continuing Education (CE Council) is seeking comment on enhancements under consideration for the continuing education requirements for registered persons. Read More

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

A firm from Greensboro, North Carolina submitted an AWC in which the firm was censured and fined $20,000 due to the entry of findings that it failed to establish, maintain and enforce an adequate supervisory system and WSPs to monitor its registered persons’ Regulatory Element Continuing Education (CE) status. Read More