The Compliance Digest

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

It’s Here: FINRA’s Top Five “Fine” Categories from 2018

Curious where FINRA focused most of its attention in 2018? Law firm, Eversheds Sutherland, is here to answer that question as they took a look back at FINRA’s monthly disciplinary reports, press releases, and online database. Read More

FINRA Releases 2019 Examination Priorities

While many of 2019’s focus areas are largely the same as in 2018 (sales practice risks, senior investors, cybersecurity, etc.), FINRA announced it is shifting its focus to include three new areas of concern. Read More

FINRA-Exam-Findings

FINRA’s Top 14 Exam Findings from 2018

The Financial Industry Regulatory Authority recently released its annual exam findings, identifying improper activity that it wants to stop. 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

FINRA Fines up in First Half of 2018

FINRA fines have increased slightly in the first half of 2018, while restitution has dropped from last year, according to a recent report conducted by Eversheds Sutherland. Read More

FINRA Files First Cryptocurrency Disciplinary Action

Investors mined more than 81 million HempCoin through late 2017 and bought/sold the security on two cryptocurrency exchanges, according to FINRA. Read More

CE Council/FINRA Request Comment on CE Program

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

“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

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