FINRA Proposes Sanction Delays After Court Ruling
Following a 2024 U.S. district court ruling in favor of [...]
13
06, 2025
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 [...]
14
03, 2025
The CCO’s Guide to Building an Effective Firm Element Program for 2025
Recent FINRA examination findings show that many firms struggle with [...]
14
03, 2025
Fintech Broker-Dealer Hit With $29.75 Million Settlement
A prominent fintech broker-dealer has been hit with a significant [...]
14
03, 2025
Ethical AI Use in Finance from a Compliance Perspective
Compliance officers are increasingly facing the challenge of overseeing artificial [...]
14
02, 2025
The $11M Cost of Failed Supervision
A recent FINRA arbitration case resulting in over $11 million [...]
