Continuing education

Smart glasses raise compliance, security, and privacy issues – their use in the workplace should be addressed by HR and compliance teams.

The changes would allow more retakes within a shorter span of time.

Fintech and compliance: A unique startup’s journey from concept and product development to FINRA approval and registration.

FINRA identified the modern workplace as an initial area of focus for its latest review, asking for specific comments from member firms.

Disciplinary decisions issued March 16 – 22, 2024.