Compliance & Renewals

FINRA CE requirements, renewal deadlines, and what you need to stay compliant.

SEC Financial Responsibility Rules blog image

SEC Financial Responsibility Rules for Broker-Dealers

Broker-dealers have certain financial responsibility requirements imposed under the Securities Exchange Act of 1934 (Exchange Act). These rules are in place to help to protect customers from adverse consequences should a broker-dealer suffer from financial failure or collapse.

National Futures Association (NFA) Training Program Compliance Courses

WebCE is excited to announce three new NFA courses on Anti-Money Laundering, Cybersecurity, and Ethics to help keep your firm compliant.