The Compliance Digest

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

CE Council Releases Q3 Firm Element Advisory

The Securities Industry/Regulatory Council on Continuing Education (Council) just recently published its Q3 2017 Firm Element Advisory (FEA). In the report, the Council identifies regulatory and sales practice topics that firms should consider in their Firm Element training plans. Read More

How to Create an Effective Written Training Plan

Here are seven tips on how to design, develop and implement a successful written training plan, leading to more engaged representatives and the attainment of key compliance goals. Read More

20 Courses to Help you Celebrate Social Media Day!

In case you missed it, today is #NationalSocialMediaDay. In celebration of this #hashtag holiday, we’re highlighting a few of our most popular ‘Social Media’ and ‘Communications with the Public’ courses. Read More

CE Council Releases Q2 2017 Firm Element Advisory

The Securities Industry/Regulatory Council on Continuing Education (Council) just recently published its Q2 2017 Firm Element Advisory (FEA). Read More

Ten Benefits of Using an E-Learning Training Platform

[SLIDESHOW] Making the switch to an online training platform can be a big step, but it could save your firm from future headaches. Here are ten benefits for transitioning your live training methods to an all-in-one online compliance training platform. Read More

FINRA Issues Suspension Over Firm Element Training

In this month’s FINRA Disciplinary Actions Notice, a registered representative was suspended from association with any FINRA member in any capacity for three months due to the entry of findings that she instructed her assistant to complete her Firm Element continuing education coursework on her behalf. Read More

Why Training is the Best Compliance Remedy

If you were given the choice between two different pilots – one that is trained, the other not – which one would you choose? The answer seems like a pretty simple one, doesn’t it? So why would you treat your firm’s training plan any differently? Read More

Seven Tips to Increase Training Completion Rates

The mantra “if you build it, they will come” unfortunately doesn’t seem to carry the same weight when being applied to continuing education, especially in terms of compliance. So how can your firm shake up its Firm Element program and boost completion rates? Here are a few suggestions from Quest CE. Read More