[Webinar] Demystifying On and Off-Channel Communications
- REGISTER BELOW - Milwaukee, WI – July 2025 – [...]
24
07, 2025
21
07, 2025
2025 Mid-Year Recap: Top 10 Firm Element Courses
With the first half of 2025 behind us, firms are [...]
9
07, 2025
[Webinar] Developing FINRA-Ready Firm Element CE Programs
- REGISTER BELOW - Developing FINRA-Ready Firm Element CE Programs [...]
13
06, 2025
Firm Pays $275K for TRACE Reporting Failure
A FINRA member firm has agreed to pay a $275,000 [...]
13
06, 2025
FINRA Proposes Sanction Delays After Court Ruling
Following a 2024 U.S. district court ruling in favor of [...]
9
06, 2025
5 Major Themes from the 2025 FINRA Conference
The 2025 FINRA Annual Conference brought together compliance professionals, regulators, [...]
23
05, 2025
Illinois Becomes First State to Adopt IAR CE for 2026
Illinois is the latest to adopt NASAA’s IAR CE model [...]
16
05, 2025
Breaking Down IAR CE Credits – Ethics & Professional vs. Products & Practice
As more states adopt the IAR CE rule, firms and [...]
2
05, 2025
Regulatory Element vs. Firm Element: When & What Counts?
Continuing Education (CE) isn't just a checkbox—it's the backbone of [...]
31
03, 2025
[Webinar] Expert Insights on 2025 FINRA & SEC Exam Priorities
- REGISTER BELOW - Join us on April 15th at [...]
