Which States Have Adopted the IAR CE Requirement?
Updated April 28th, 2025 -- 2025 has brought forth a [...]
10
01, 2023
19
12, 2022
Ransomware Surge: Is Your Firm Prepared?
In a notice released to the financial industry, FINRA warns [...]
19
09, 2022
Will You be Joining FINRA’s New Pilot Program?
If your firm is anything like us, you understand how [...]
23
05, 2022
Eight Things You May Have Forgotten About Classroom CE
Over the past two years, we’ve experienced schools shutting down, [...]
23
05, 2022
Five Reasons to Keep Hybrid CE in Your Sales Strategy
As one of the leading continuing education (CE) delivery options, [...]
12
05, 2022
FINRA Arbitration Claims are Down, But Will it Last?
Data reported by FINRA shows that fewer brokerage customers are [...]
20
04, 2022
[Webinar] Emerging Trends from the 2022 FINRA & SEC Priorities Letters
--- REGISTRATION CLOSED: FULL CAPACITY --- If you're like us, [...]
18
04, 2022
Four Things FINRA Wants You to Know about CCO Liability
For many firms, chief compliance officers (CCOs) are often [...]
18
04, 2022
FINRA Offers Guidance for Handling OBAs and PSTs
Each year, we anticipate the release of the report on [...]
11
03, 2022
FINRA Requires Supervisor to Complete 40 Hours of CE
According to FINRA’s monthly disciplinary actions, a firm member from [...]
