Tag Archives: continuing education

FINRA Requests Comment on Enhancements Under Consideration by the Securities Industry/Regulatory Council on Continuing Education

FINRA requests comment from member firms and other interested parties on enhancements to the Securities Industry Continuing Education Program (CE Program) under consideration by the Securities Industry/Regulatory Council on Continuing … Continue reading FINRA Requests Comment on Enhancements Under Consideration by the Securities Industry/Regulatory Council on Continuing Education

2016 Web CRD/IARD Training

The 2016 Foundations of Web CRD/IARD training is designed for those at broker-dealers or joint broker-dealer/investment adviser firms who are new to registration and licensing, new to Web CRD and IARD, or who want to receive a refresher and registration tips.

SIFMA Cyber Insurance Webinar

Every financial firm has an obligation to be vigilant in our industry’s commitment to cybersecurity. As cyber attacks become more frequent and destructive, cyber insurance policies can offer critical protections to complement your risk management program.

SIFMA, FireEye, DeWitt Stern and ACE Group, a leading provider of cyber insurance, are providing a cyber insurance webinar to learn more about the current cybersecurity landscape and the SIFMA Cyber Insurance Program. Participants will be provided an opportunity for in-depth Q&A.

SIFMA Securities Industry Institute Program

The Securities Industry Institute, SIFMA’s premier executive education program held in partnership with The Wharton School, is being offered March 6 – 11, 2016.

The program provides access to world-class faculty from Wharton and other leading universities and exposure from industry experts in the latest trends in the industry, prepares you for the uncertain shifts in the market, provides networking opportunities that enable you to build your network, business and perspective, and you will receive a SIFMA/Wharton Certificate upon graduation.

SIFMA 2016 Compliance & Legal Annual Seminar

Registration is now open for the SIFMA 2016 Compliance & Legal Society Annual Seminar on March 13–16 at the Hilton Orlando Bonnet Creek. Compliance and legal professionals participate in SIFMA’s our interactive program with more than 65 dynamic panels and sessions that focus on the current regulatory and legal developments impacting the industry.

Webinar: Seven Safety Measures When Working with Senior Investors

As regulators continue to narrow in on protecting senior investors, broker-dealers, now more than ever, need to focus on how their compliance programs are set-up to cater to today’s ‘graying’ American population. As many firms are quickly beginning to realize, failing to implement such safeguards can lead to serious issues regarding suitability and disclosure.

This webinar will discuss the unique needs of senior investors, steps your firm should take when working with this growing demographic, and the serious implications of FINRA and the SEC’s recent influx of disciplinary actions and investor alerts. Please join the discussion July 30 at 1pm.