This January, FINRA published the 2023 Report on FINRA’s Examination and Risk Monitoring Program. The Report provides essential guidance for compliance officers and is devised to inform member firms' compliance programs by delivering annual insights from FINRA's...
In February 2022, the SEC proposed new rules to shift to a trading day plus one business day settlement (T+1) cycle for securities trades in the US. In a coordinated effort, the Securities Industry and Financial Markets Association (SIFMA), the Investment Company...
In our recent webinar, Best Practices in Advisor Succession Planning, we explored industry trends, effective models, and the role of technology in financial advisor succession planning. Our speakers included: Arthur Osman, Consultant at Kehrer Bielan Research &...
We’re excited to announce our upcoming webinar Best Practices in Financial Advisor Succession Planning, scheduled on Wednesday, June 22, 2022, at 1:00 PM CT. By now, those of us working in the financial advice industry are well aware of the looming advisor shortage....
This February, FINRA released the 2022 Report on its Examination and Risk Monitoring Program. The report is designed to inform member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations. In a press release, Greg Ruppert,...