FINRA Updates Rule 2210 & Is Europe Getting an SEC? |
[VIDEO] This month, we discuss changes to FINRA Rule 2210, which would allow for performance projections, and the ECB wants an SEC? |
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SEC Enforces Second-Highest Year for Penalties |
The SEC filed 784 enforcement actions, obtained orders for nearly $5 billion in financial remedies, and distributed nearly $1 billion to harmed investors. |
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Hawaii Latest State to Adopt IAR CE |
Hawaii is the 17th state to adopt IAR CE. Starting January 1, 2024, RIAs in the state will need to complete 12 CE credits before year-end or risk an 'inactive' status. |
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SEC’s 2024 Exam Priorities: 6 Key Takeaways |
This year's examinations will prioritize areas that pose the most risks to investors, including marketing practices, conflicts of interest and more! |
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CE Council Releases Q3 Firm Element Highlights |
The recent quarterly highlight, released by the CE Council, features reminders about cybersecurity disclosures and amendments to rules G-12 and G-15. |
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