NASAA Adopts CE Rule for Investment Advisers
On November 24, 2020, the North American Securities Administrators Association [...]
10
12, 2020
10
12, 2020
Part 1: CE Council Releases Guide on Firm Element
The CE Council recently released a guide to Firm Element [...]
10
12, 2020
Part 2: CE Council Releases Guide on Needs Analysis
The CE Council recently released a guide on proper practices [...]
10
12, 2020
Part 3: CE Council Releases Guide on Training Plan
The CE Council recently released a guide on proper practices [...]
16
11, 2020
FINRA Conducts Targeted Exam of Fund Fee Waivers
The Financial Industry Regulatory Authority (FINRA) is conducting targeted exams [...]
16
11, 2020
Your “Cheat Sheet” for 2021 FINRA Renewals
While it may be hard to believe, 2020 is already [...]
16
11, 2020
SEC Flags Multi-Branch Office Compliance for RIAs
The SEC’s Office of Compliance Inspections and Examinations (OCIE) recently [...]
30
10, 2020
Five Things to Know About Webinar CE Polling
Webinar CE can be great for business when done correctly. [...]
30
10, 2020
Jazz Up your CE-asons Greetings with Voucher Cards
The holiday season is just around the corner! You know [...]
19
10, 2020
Why CCOs Can’t Ignore This Cybersecurity Month
The pandemic has moved cybersecurity up on the list of [...]
