FINRA Moves Forward with Annual Regulatory CE
Earlier this month, the Financial Industry Regulatory Authority (FINRA) filed [...]
14
06, 2021
14
06, 2021
CE Council Releases Q2 Firm Element Advisory
The Securities Industry/Regulatory Council on Continuing Education (Council) recently published [...]
14
06, 2021
FINRA Moves Forward with Annual Regulatory CE
In early June, FINRA filed a proposal with the SEC [...]
10
06, 2021
FINRA Takes on Short Interest Reporting
On June 4, 2021, FINRA published Regulatory Notice 21-19, which [...]
26
05, 2021
Five Tips for Making Your Webinars Stand Out
As webinar invites continue to fill advisor’s inboxes, it’s more [...]
26
05, 2021
How Firms are Capitalizing on Virtual “CE” Roadshows
Virtual tradeshows are optimized to keep conversations, ideas, and engagement [...]
17
05, 2021
Five Courses to Assign After the FINRA Conference
No matter what industry you’re in, attending conferences that are [...]
17
05, 2021
FINRA Releases Notice on Account Takeover Attempts
FINRA has received an increasing number of reports regarding ATO [...]
17
05, 2021
NY Court Strikes Down Regulation 187
The Appellate Division of the New York State Supreme Court, [...]
15
05, 2021
10 Things to Know About NASAA’s New CE Rule
If you were paying attention back in November, you’re well [...]
