Social Media Ideas for Finra Exams

Your Ultimate Guide to Excelling in FINRA Exams!

If you’re preparing for the Financial Industry Regulatory Authority (FINRA) exams, you’re on the right path to advancing your career in the financial industry. As a prospective reg...

SEC Approves FINRA Rule 2210 Amendment Allowing Projected Performance and Targeted Returns

SEC rule would let investors take exam to qualify as accredited

In addition to proposing broader access to private market investments for those who pass a test and for CFPs and other credential holders, the SEC also proposed expanding advisors'...

Internal Reviews Covering the Use of AI by FINRA Associated Persons

The SEC’s New Exam Handbook: Regulators Share What Advisers Should Expect From Their Next Exam

FINRA Enforcement Review Calls for Major Reforms

What to Know FINRA published an external review recommending broad changes to its Enforcement program. If adopted, the recommendations would have a significant impact for broker-d...

United States: Open (Hand)book for SEC Exams: A Useful Tool for the Uninitiated

A call from the Staff at the Division of Examinations (Exams) of the Securities and Exchange Commission (SEC or the Commission) notifying a registrant of an exam has long induced u...

Client Alert: FINRA Forward Report May Reshape Enforcement Expectations for Member Firms

CFA Final Pass Rate Falls to 47%, Staying Below Historic Average

Test-takers who delay their exams have a much lower chance of success

SEC Division of Examinations Publishes Risk Alert on Annual Compliance Reviews

Finance AI Agent Compliance Testing: The Output Is a Record

For a FINRA member firm, agent output is a communication. See how to build the fixtures, graders, CI gate and run evidence that turn that into a test suite.

SEC Examiners' 2027 Focus Includes Firms' Protections Against AI Phishing, Deepfakes

The SEC's exam division plans to probe how firms govern AI use, from deepfake threats to vendor risk, while also prioritizing illiquid products and Reg S-P readiness.

CIRO imposes $7.6 million in sanctions on individuals in fiscal 2026: annual report

Hearing panels handed down 10 permanent bars and 16 suspensions across 39 decisions

Financial Planning's September CE quiz now live for subscribers

Earn credit toward industry certification while staying up to date on key financial planning topics and strategies.

FINRA Fines American Portfolios $1.6M, Alleging UIT Lapses

According to FINRA, three reps repeatedly recommended that clients sell unit investment trusts early and buy new ones, thereby racking up unnecessary fees for customers.

SWE90 Separates Fiduciary Advisory and Regulation Best Interest Roles

Investments & Wealth Institute Client Research Finds Advanced Certifications Carry Weight with Clients

Eighty-two percent of advisory clients say advanced professional certifications would be important if they were looking for a new advisor today