Webinar

Does your firm manage employee credentials using a spreadsheet? Does your compliance team spend hours and hours in the fourth quarter of every year preparing for annual FINRA renewals? There's a better way that eliminates the compliance risk and time sink that goes hand-in-hand with manual processes and reduces the chance of error and regulatory censure. 

As we enter the third quarter of 2022 it's clear that both the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) are continuing to demonstrate a steady pace of enforcement.

And there’s no indication that this steady pace will be slowing down. In fact, in recent remarks, SEC Director of the Division of Enforcement Gurbir S. Grewal noted that he’s “been asking staff to look for ways in which to push the pace of investigations since day one.”