The Compliance Digest

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

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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

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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

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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