SEC Proposes Changes to Address Rising Cybersecurity Concerns
Since 2011, the SEC has offered guidance concerning registrants’ existing [...]
10
03, 2022
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 [...]
14
01, 2022
Enforcement Fines to Financial Firms Declined by Half in 2021
After witnessing a costly year of enforcement fines in 2020, [...]
14
01, 2022
FINRA Proposes to Extend Remote Branch Office Inspections (Again)
It's hard to believe we're starting off another year where [...]
14
01, 2022
FINRA Releases Annual Renewal Program ‘Final Statements’
Although Preliminary Statements are issued in mid-November each year, FINRA [...]
