Enforcement Fines to Financial Firms Declined by Half in 2021
After witnessing a costly year of enforcement fines in 2020, [...]
14
01, 2022
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 [...]
9
12, 2021
A Year in Review: Common Trends & Industry Updates
In a word, 2021 was – tricky. It was a [...]
9
12, 2021
CE Council Releases Updates to its Firm Element Advisory
The Securities Industry/Regulatory Council on Continuing Education (Council) recently released [...]
22
11, 2021
Five Reasons to Give the Gift of Vouchers this Holiday ‘CE’ason
Gratitude is a dish best served throughout the year, but [...]
11
11, 2021
NASAA Finds Firms are Missing the Mark on Reg BI
When Regulation Best Interest (Reg BI) went into effect in [...]
11
11, 2021
Your Official Guide to FINRA’s 2022 Annual Renewals
Cooler air, fallen leaves and the start of the holiday [...]
11
11, 2021
SEC Sweep Exam Uncovers Multiple Fee Calculation Errors
“Every dollar an investor pays in fees and expenses is [...]
27
10, 2021
How to Create a Plan of Action for Your 2022 CE Program
It’s planning season! Everyone's favorite time of the year, am [...]
