SEC Says Yes to “Restricted Firm” ID on BrokerCheck
The SEC recently approved a rule proposal that would allow [...]
13
02, 2023
13
02, 2023
SEC Issues Risk Alert on Reg BI Policy Failures
The SEC recently released a risk alert related to Regulation [...]
13
01, 2023
Eight Takeaways from FINRA’s 2023 Exam Priorities
On January 10, 2023, the Financial Industry Regulatory Authority, Inc. [...]
13
01, 2023
Top 10 Firm Element Courses of 2022
With 2022 in the rear-view mirror, we can’t think of [...]
13
01, 2023
SEC Issues New Guidance on Marketing Rule
Nearly two months after the effective compliance date of the [...]
19
12, 2022
Ransomware Surge: Is Your Firm Prepared?
In a notice released to the financial industry, FINRA warns [...]
16
12, 2022
FINRA & SEC Take on Social Media Misuse
FINRA Fines/Suspends Rep for Facebook Posts FINRA recently took action [...]
16
12, 2022
CE Council Releases Q4 Firm Element Highlights
The Securities Industry/Regulatory Council on Continuing Education (Council) recently released [...]
14
11, 2022
Recent SEC/FINRA Enforcement Cases & Lessons Learned
Each year, we’re amazed at the amount of talent and [...]
14
11, 2022
FINRA Develops First Ever Machine-Readable Rule Book
In a revolutionary move for the industry, FINRA has launched [...]
