annual training

Annual Training Considerations for Broker/Dealers

It’s 2020 and as the new year rolls in, so does annual training planning. Rule 3110(a)(7) requires each Registered Person to participate, at least annually, in an interview or meeting which discusses compliance matters relevant to their activities. The goal is to discuss compliance issues to remain current on applicable regulatory developments and/or implement changes in Firm policies. Your Firm’s training program is not only a regulatory requirement. Building an effective training program also protects the Firm against litigation risk.

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FINRA’s Conferences for Fall 2016

FINRA offers securities and compliance professionals valuable education and training opportunities, particularly in compliance and regulatory matters. FINRA’s conferences and educational events keep securities and compliance professionals informed about recent and upcoming regulatory and rules developments as well as FINRA’s priorities and practical guidance on compliance issues. Read More…