FINRA Cracks Down on Senior Abuse this Summer
Despite the changes brought on by the COVID-19 pandemic, FINRA [...]
14
09, 2020
17
08, 2020
SEC Highlights Risks to Firms Due to COVID-19
The SEC’s Office of Compliance and Inspections and Examinations (OCIE), [...]
17
08, 2020
FINRA Warns Firms of Copycat Website
FINRA has issued an alert to its member firms warning [...]
17
08, 2020
FINRA-Registered Firms, Reps Continue to Decline
The total number of broker-dealers registered with FINRA continues to [...]
28
07, 2020
Five Qualities to Look for in a Webinar CE Platform
So, you’ve decided to begin delivering insurance/designation continuing education (CE) [...]
15
07, 2020
FINRA Tackles What’s Next for Reg BI in New Podcast
Reg BI examinations have already started to take place. But [...]
15
07, 2020
SEC Releases Alert on Ransomware Attacks
The Securities and Exchange Commission’s (SEC) exam division is warning [...]
15
07, 2020
DOJ Edits Guidance for 2020 Compliance Programs
On June 1, 2020, the United States Department of Justice [...]
30
06, 2020
25 Courses to Help you Celebrate Social Media Day!
As a highly used marketing tool in the financial services [...]
15
06, 2020
MSRB Proposes Rule Changes to Align with Reg BI
The MSRB recently filed proposed amendments with the SEC to [...]
