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FINRA to Resume In-Person Hearings in July
wealthmanagement.com
PIABA Pushes FINRA to Resume In-Person Arbitration Hearings
InvestmentNews
Remote Compliance Rises to the Challenge
Dwealth.news
RegTech Firm Smarsh’s Annual Survey Underscores Rising Compliance Risks of Remote Work Model
Dwealth.news
SEC to Prioritize Reg BI Compliance, Order Routing in 2021 B-D Exams
Dwealth.news
Post-GameStop, Future Compliance Risks Could Reshape Wealthtech
RegEd Webinar
Maximizing Value From Your Branch Office Exams During Covid-19 and Beyond
InvestmentNews
Letter to the Editor on Branch Exams
wealthmanagement.com
A Cure for Branch Exams During Covid-19
Financial Advisor Magazine
Finra Is Failing on Guidance For Post-Pandemic Branch Examinations
wealthmanagement.com
SEC Holds Firm on June 30 Reg BI Implementation Date
IGNITES (a Financial Times Publication)
COVID 19 Could Potentially Push SEC to Delay Reg BI
wealthmanagement.com
COVID-19 Could Be a Harsh Test for Advisors’ Business Continuity Plans
wealthmanagement.com
The Legal Risks of Failing to Disclose Up-Front Bonuses
Real Assets Adviser Magazine
Roundtable: Modernizing SEC and FINRA regulations?
ThinkAdvisor Magazine
Here's Why to Go With an Outsourced Compliance Pro
Financial Advisor Magazine
Essential Edge Launches OSJ/IBD Branch Compliance Inspection Service
Yahoo Finance
Essential Edge Launches With Mission To Substantially Reduce Broker-Dealer Compliance Risks And Costs
wealthmanagement.com
New Consultancy Goes After Thorny IBD Branch Exams