SEC Releases Top Eight Exam Priorities for 2021
On March 3, 2021, the Securities and Exchange Commission’s Division [...]
11
03, 2021
26
02, 2021
How to Multiply your Reach with *Recorded* Webinars
Webinars are all the craze today, and for good reason. [...]
15
02, 2021
Do you have one of the “worst” passwords of 2020?
The list of the most commonly hacked passwords of 2020 [...]
15
02, 2021
FINRA Releases 2021 Exam Priorities Letter
Compliance professionals – clear your schedule. The 2021 Report on [...]
15
02, 2021
CFP Board Looks to Revise Sanction Guidelines
The Certified Financial Planner Board of Standards, Inc. (CFP Board) [...]
18
01, 2021
SEC Greenlights Modern Marketing Rule for IAs
After a nearly year-long comment period, the SEC announced last [...]
18
01, 2021
Six Need-to-Know Facts about the AML Act of 2020
The new year rings in the most significant changes in [...]
30
12, 2020
Four Factors for Creating a Successful 2021 CE Budget
As we say goodbye to 2020, we should use what [...]
10
12, 2020
NASAA Adopts CE Rule for Investment Advisers
On November 24, 2020, the North American Securities Administrators Association [...]
10
12, 2020
Part 1: CE Council Releases Guide on Firm Element
The CE Council recently released a guide to Firm Element [...]
