Effective December 15, 2016, a revision of FINRA Rule 5210 (Publication of Transactions and Quotations) goes into effect, further defining prohibited actions related to disruptive quoting and trading.  FINRA Rule 5210 was designed to prevent the manipulative or fraudulent publication of any quotation or execution of trades unless the member firm believes the quote or […]

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FIRE Solutions is pleased to announce the addition of Cybersecurity for Representatives & Clients to our Firm Element and Annual Compliance Meeting catalog. Cybersecurity for Representatives & Clients describes the importance of a cybersecurity program, the tactics used to hack into a firm’s systems, and ways that representatives and their clients can prevent these breaches. […]

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FIRE Solutions is pleased to announce the addition of 401 (k) Plans to our Firm Element Continuing Education course catalog. 401 (k) Plans is an intermediate course intended for retail representatives and investment adviser representatives, as well as any financial service industry professional interested in learning about 401(k) plans as a retirement plan option. The […]

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Retirement planning is one of the most important and complex financial tasks clients will undertake in their lives. Registered representatives who are educated about all the various retirement options can provide significant assistance to clients. However, reps who work with these investments may now be deemed fiduciaries under new, complex Department of Labor and ERISA […]

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Create Evidence of Supervision Some of the best practices employed by compliance professionals who avoid failure to supervise allegations, is to consistently document their supervisory efforts. These professionals will have a system of documenting, (and retrieving), meeting notes, conversations, red flags, investigations, and follow-up activities. All in an effort to provide verification of how they […]

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FIRE Solutions is pleased to announce the addition of Supervision and Surveillance to our Firm Element Continuing Education course catalog. Supervision and Surveillance is intended for branch managers and supervising principals, compliance officers, and others interested in establishing and maintaining account surveillance procedures. Information in this course will help these financial professionals ensure that their […]

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