NASAA Finds Firms are Missing the Mark on Reg BI
When Regulation Best Interest (Reg BI) went into effect in [...]
11
11, 2021
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 [...]
14
10, 2021
How to Prevent Holiday Gift-Giving That Breaks FINRA’s Rules
With November right around the corner, it’s important that compliance [...]
17
09, 2021
Fore Golf Lessons to Apply to your Firm’s Training Plan
Are you looking to take a few strokes off your [...]
5
08, 2021
Representative Barred from FINRA for Cheating on CE
According to a recent FINRA disciplinary actions notice, a registered [...]
14
06, 2021
FINRA Moves Forward with Annual Regulatory CE
In early June, FINRA filed a proposal with the SEC [...]
10
06, 2021
FINRA Takes on Short Interest Reporting
On June 4, 2021, FINRA published Regulatory Notice 21-19, which [...]
17
05, 2021
NY Court Strikes Down Regulation 187
The Appellate Division of the New York State Supreme Court, [...]
