FINRA Releases Annual Renewal Program ‘Final Statements’
Although Preliminary Statements are issued in mid-November each year, FINRA [...]
14
01, 2022
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 [...]
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 [...]
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 [...]
15
07, 2021
States Race Forward with NAIC Best Interest Adoption
Update: This article was recently amended on 9/7/22 to reflect [...]
