FINRA & SEC Take on Social Media Misuse
FINRA Fines/Suspends Rep for Facebook Posts FINRA recently took action [...]
16
12, 2022
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 [...]
11
11, 2022
SEC Proposes New Oversight Requirements for RIAs
For registered investment advisers across the country, a new rule [...]
14
10, 2022
8 Reasons Why Cybersecurity Should Be Your #1 Priority
For the month of October, cybersecurity is at the forefront [...]
14
10, 2022
Are you Ready for these 2023 CE Changes?
Coming this January, some big changes are coming down the [...]
19
09, 2022
DOJ Circles Back on Corporate Compliance Programs
In a speech on September 15, 2022, Deputy Attorney General [...]
11
08, 2022
Eight Takeaways from the SEC’s Recent Reg BI Bulletin
Additional clarifying guidance has been released by the Securities Exchange [...]
11
08, 2022
FINRA Moves in on Digital Signature Fraud
Digital signature tools have become a go-to resource for many [...]
