Regcompliancewatch.com Website Review

INCLUDES: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters INCLUDES: 28 Best Practices, 20 Docu*ent Request Letters and 6 OCIE Risk Alerts INCLUDES: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance If your firm is in the middle of – or scheduled to begin – an OCIE exam, the partial federal government shutdown that began Dec. 22 Predictions that OCIE would put out its 2019 exam priorities before 2018 ended proved true (IA Watch, Nov. 13, 2018), as did New rules from the SEC regarding advertising and fiduciary duty. A rougher economy and more stock market turbulence. Political upheaval. An old car product advertisement used to sell its product by stating “pay me now, or pay me later.”   This adage could apply to The New Year opens like a new book, awaiting only for you to write your story. Gain some ideas for tasks to tackle in 2019 by seeing what We’ve shared predictions for the regulatory year ahead (see related story). Now check out the regulatory calendar for 2019. These Gauging the talents of newly qualified reps is never easy. Now, FINRA has taken a step that may make the exercise even more daunting.   The Your pas*word has been reset. Please login now with your new pas*word.