Compliance & Licensing

Field Notices 2026-01 and 2026-17 explain this year’s continuing education program and how to access the various elements.  Regulatory Element training is available through your FinPro…

We’d like to share a quick reminder to help support you and your clients. We’ve observed instances where the statement for the account being liquidated to fund…

We are sharing an important regulatory update regarding the SEC Section 31 Activity Assessment Fee, which will impact certain securities transactions beginning in April.…