FINRA Conducts Targeted Exam of Fund Fee Waivers
The Financial Industry Regulatory Authority (FINRA) is conducting targeted exams [...]
16
11, 2020
16
11, 2020
Your “Cheat Sheet” for 2021 FINRA Renewals
While it may be hard to believe, 2020 is already [...]
19
10, 2020
FINRA Releases Q3 2020 Firm Element Advisory
The Securities Industry/Regulatory Council on Continuing Education (Council) recently published [...]
14
09, 2020
FINRA Cracks Down on Senior Abuse this Summer
Despite the changes brought on by the COVID-19 pandemic, FINRA [...]
17
08, 2020
FINRA Warns Firms of Copycat Website
FINRA has issued an alert to its member firms warning [...]
17
08, 2020
FINRA-Registered Firms, Reps Continue to Decline
The total number of broker-dealers registered with FINRA continues to [...]
15
07, 2020
FINRA Tackles What’s Next for Reg BI in New Podcast
Reg BI examinations have already started to take place. But [...]
15
06, 2020
FINRA Releases New Problem Codes & AI White Paper
FINRA Releases New Customer Complaint Problem Codes FINRA is adding [...]
15
06, 2020
FINRA Addresses Exam Cheating at Board Meeting
Last week, the FINRA Board of Governors met virtually for [...]
28
04, 2020
Quest CE Releases FINRA Advertising Rules Course
MILWAUKEE – Quest CE, premier provider of compliance training and [...]
