Four Things FINRA Wants You to Know about CCO Liability
For many firms, chief compliance officers (CCOs) are often [...]
18
04, 2022
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, [...]
25
02, 2022
What’s the Deal with NASAA’s IAR CE Model Rule?
By now, you’ve likely heard about NASAA’s newly adopted model [...]
14
02, 2022
SEC Proposes New Cybersecurity Reporting & Disclosure Requirements
On February 9, 2022, the SEC proposed several rules under [...]
14
02, 2022
Financial Advisors Could See an Increase in Clients in 2022
Have you ever thought about who takes advantage of financial [...]
14
02, 2022
Eight Takeaways from FINRA’s 2022 Examination Priorities Letter
Eight Takeaways from FINRA’s 2022 Exam Priorities Letter It’s planning [...]
28
01, 2022
Celebrate Data Privacy Day with these Six Courses
145 minutes. That's the average amount of time a person [...]
