Compliance & Licensing

Let’s take a look at what constitutes as “selling away” and what are some defined examples. Private Placements and Private Securities Transactions Registered Representatives…

We’re excited to share a new improvement in how you submit and track key compliance items. Marketing Reimbursements, Training Attendee Certifications, and Day Meeting…

There are some important dates and deadlines that you don’t want to miss. Past: October 30 - Continuing Education Requirements Deadline October 30 -…

All OBAs are required to be disclosed and approved before engaging in the activity. You must also notify your supervisor and ESI of changes to,…

Field Notices 2025-01 and 2025-15 introduced this year’s continuing education (CE) program. This notice is simply a reminder that all CE requirements need to…

FINRA recently updated their rep-facing platform, FinPro, making it easier than ever for the user to navigate and view personal securities related information. Updates…

As part of its ongoing surveillance program, ESI monitors client purchases across the various share classes offered in mutual funds. In particular, purchases of…