To help you celebrate National Social Media Day, we highlighted some of our top social media and communications courses, all of which are great options to include in your 2020 training plans. Read More

We were curious to know which of our Firm Element courses are leading the pack through the first few months in 2020. In this article, we feature the top 10 courses that are being delivered so far this year. Read More

Find out which regulatory topics the Council on Continuing Education (CE Council) recently published in its Q1 2020 Firm Element Advisory (FEA).
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If you're involved in CE oversight at your firm, the following article summarizes FINRA's proposal to enhance it's continuing education program for securities professionals. Read More

To help you get a jump start on planning your compliance training calendar for the year, we’ve identified ten fan-favorite courses from our catalog that correlate with the areas of risk identified in this year’s priorities letters. Read More

What better way to jump into a new compliance year then by recapping our top ten Firm Element courses from 2019? Read More

According to FINRA’s November Disciplinary Actions Notice, a registered representative was fined $3,000, suspended for three months and ordered to attend and satisfactorily complete 10 hours of continuing education (CE) for failing to complete his Firm Element continuing education.  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

Have you ever been curious about which of our courses are most popular among firms today? In this article, we pull back the curtain by featuring our top 10 most delivered Firm Element courses in 2019, thus far. Read More

In acknowledgment of the one-year anniversary of the passage of The Senior Safe Act, the SEC, NASAA, and FINRA have issued a fact sheet to help raise awareness on how the Act’s immunity provisions work. Read More