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Securities Posts


July 30, 2018

Staying Ahead of Regulatory Change

There are many compliance rules and regulations to track in our industry. With 54 regulatory bodies and hundreds of different carriers with their own appointment rules, compliance quickly becomes a complicated web of information to understand and track.

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June 29, 2018

Carrier Regulatory Mid-Year Update

At the beginning of each year Vertafore and SILA partner to bring you the Running Start Webinar series, for compliance information you need to gain an edge and hit the ground running. You can watch the on-demand webinar here.

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May 9, 2018

Cryptocurrency: Regulation Nightmare or Investment Dream

Have you heard of cryptocurrencies - the new and exciting digital currency that uses cryptography for security? In the past year, these currencies have gained major regulatory attention. As an advisor, you may be wondering how to cash in on these investments, but you may also be concerned with the regulatory impact...

By: Daeten Smith

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April 30, 2018

Preparing for FINRA Exams: Cybersecurity

Cyberattacks, like any other attack, can seemingly appear out of thin air and you should prepare your infrastructure and your employees for them. If you have seen any of the Rocky movies, you know there will always be a new plot, another villain, and another fighter to deal with. The same is true with cyberattacks...

By: Daeten Smith

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December 18, 2017

Preparing for FINRA Exams: OBAs and PSTs

There are many areas to look at in making sure you are prepared for your next FINRA audit. FINRA has done their part in helping you prepare, by releasing their 2017 Examination Findings Report so that firms "can further improve their compliance functions based on the experiences of other firms"...

By: Daeten Smith

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November 28, 2017

FINRA Small Firm Conference 2017: A Recap

FINRA has been providing tools, templates, and resources for firms with 150 or fewer registered representatives for some time and their annual Small Firm conference was recently held in Santa Monica...

By: Daeten Smith

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September 20, 2017

Are You Staying Ahead of Cyber Threats

As the sophistication of technology used by the insurance and financial services industry is constantly evolving, so too are the cyber threats that we face. Regulators see cyber and data security as some of the biggest threats to consumer protection, and they are increasing cyber regulations to protect those consumers - New York's new cybersecurity standard is just the beginning...

By: Chris Gillespie

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March 6, 2017

Outside Business Activity Best Practices

In the securities industry, FINRA requires that all registered representatives disclose any outside business activity (OBA) including compensation that is earned outside of the scope or relationship of their firm. The goal is to ensure that these activities aren't interfering with the firm or affecting clients in any way. But what is considered an OBA? How do reps ensure that they are complying with this rule? What practices should your businesses follow to ensure you're effectively monitoring and supervising your team...

By: Sydney Beaudreault

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January 31, 2017

The Most Info-Packed Webinar of The Year is Back!

Successful compliance professionals constantly evolve, hurdling over compliance-risk obstacles to keep business humming. This meanings keeping a finger on the pulse of regulatory change and savvy decision making to leverage it for a competitive edge. And this year, we're holding two!

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December 8, 2016

The Clash, The DOL Fiduciary Rule, & The New Administration

In light of FINRA's recent focus on conflicts, how many broker-dealers and other investment firms are singing the tune?

"Should I stay or should I go now?"

By: Neal Hamilton

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May 06, 2016

Fiduciary Rule: Why the industry remains uneasy

The fiduciary rule has been the topic of the financial services industry for quite some time, but now that it has been approved, industry concerns continue to increase. For those that are unfamiliar with the rule, here's the quick scoop: The rule, according to investment news, "requires that brokers act in clients" best interests"when providing retirement planning advice. Although many financial advisors...

By: Tim Owen

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March 11, 2016

Are you prepared for the FINRA Rule 2210 amendment?

As you may already be aware, the SEC has approved FINRAs proposal for an amendment to Rule 2210 ? Communications with the Public, but with implementation deadlines nearing, we're addressing a few questions that we've heard from our customers to help prepare you! Here's a quick overview of the rule: This requirement means that each of a member firm's websites must include a...

By: Doug Vincens

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November 24, 2015

FINRA Rule 3110(e): How Pro-active Monitoring Can Help You Comply

At the recent SILA National Education Conference, the update to FINRA Rule 3110(e) and its resulting burden placed on member firms, generated quite a bit of chatter during the FINRA sessions. As you are likely aware, FINRA has been using a public records search vendor to identify potentially missing disclosures and then notifying the firms to address any discrepancies immediately. In most cases...

By: Doug Vincens

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