Will You be Joining FINRA’s New Pilot Program?
If your firm is anything like us, you understand how [...]
19
09, 2022
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 [...]
10
03, 2022
SEC Proposes Changes to Address Rising Cybersecurity Concerns
Since 2011, the SEC has offered guidance concerning registrants’ existing [...]
25
02, 2022
The Valuable Tool Missing from Your CE Sales Strategy
If you’re offering continuing education (CE) in your sales meetings, [...]
