Compliance & Licensing

FINRA recently published a Cybersecurity Alert to warn firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and…

As you know, as a result of the DOL Rule, ESI has referred to doing business under two Prohibited Transaction Exemptions, also known as…

As you know, as a result of the DOL Rule, ESI has referred to doing business under two Prohibited Transaction Exemptions, also known as…

As you know, as a result of the DOL Rule, ESI has referred to doing business under two Prohibited Transaction Exemptions, also known as…

FINRA Rule 3210 requires that associated persons disclose brokerage accounts held at a member firm other than their employer, which means registered persons must…

The ESI Compliance Alliance is a quarterly publication that summarizes industry news and/or regulatory events that may impact our business. The Compliance Alliance focuses…