SEC Enforces Second-Highest Year for Penalties
The Securities and Exchange Commission (SEC) recently announced its Enforcement [...]
15
11, 2023
16
10, 2023
2023 CE Council Firm Element Survey: Key Takeaways
In May, the CE Council sent out a 2023 Firm [...]
16
10, 2023
CE Council Releases Top Firm Element FAQs
CE Council Releases Top Firm Element FAQs In a recently [...]
18
09, 2023
CE Council Releases Q2 Firm Element Highlights
The Securities Industry/Regulatory Council on Continuing Education (Council) recently released [...]
18
09, 2023
11 Reasons you Could be Picked for an SEC Exam
The Securities and Exchange Commission (SEC) has issued a risk [...]
18
09, 2023
NASAA Reports Decrease in 2023 Examination Violations
A recent report from the North American Securities Administrators Association [...]
10
08, 2023
FINRA Issues Reminder Notice for Regulatory Element Deadline
Is FINRA signaling concern over firm members meeting the new [...]
10
08, 2023
How to Apply Regulatory Element CE to IAR CE
With the introduction of FINRA's annual Regulatory Element CE requirement [...]
10
08, 2023
Five Tips to Prevent Off-Channel Communication Issues
Several more Wall Street banks have been hit with substantial [...]
16
06, 2023
SEC Releases Second Risk Alert on Marketing Rule
The Securities and Exchange Commission (SEC) is delivering on its [...]
