This month, we discuss the latest state to adopt the IAR CE requirement and the CE Council's quarterly Firm Element highlight.  ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌ ‌

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The Compliance Digest

Expert compliance tips and up-to-date regulatory news

SEC Greenlights FINRA Expungement Proposal

SEC Greenlights FINRA Expungement Proposal

[VIDEO] This month, we discuss the SEC’s recent approval of FINRA’s new expungement reform rule as well as March’s CFP Exam results.

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CE Council Releases Q1 2023 Firm Element Advisory

CE Council Releases Q1 2023 Firm Element Advisory

The CE Council recently released its Firm Element Quarterly Highlights to assist firms with the identification of potential topics to include in Firm Element training plans.

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Colorado Latest State to Adopt IAR CE Requirement

Colorado Latest State to Adopt IAR CE Requirement

Colorado amended rule 51-4.4.1(IA) to add a continuing education requirement that follows NASAA’s model rule, affecting the state’s licensed investment advisers.

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FINRA Revives Inspection Pilot Program Proposal

FINRA Revives Inspection Pilot Program Proposal

FINRA has officially resubmitted a proposal which would allow eligible firms to participate in a three-year pilot program for conducting remote examinations of branch offices.

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