On January 14, 2026, FINRA filed SR-FINRA-2026-001 with the U.S. Securities and Exchange Commission, proposing […]
[Webinar] Designing a Proactive Regulatory Approach To Advisor Texting

A proactive approach is best when it comes to advisor-client texting. Join us to learn why!
Join our webinar on November 7th at 1pm EDT when Mitch Avnet of Compliance Risk Concepts ("CRC" ) goes online with Phil Burch of Hearsay Systems to discuss how technology can help compliance and supervision teams proactively mitigate risk for their firms and allow advisors to provide best-in-class service to their clients.

By attending this webinar, you can expect to learn:
On January 14, 2026, FINRA filed SR-FINRA-2026-001 with the U.S. Securities and Exchange Commission, proposing […]
Q1 Annual Testing Kickoff The Moment That Matters Q1 is not just the start of […]
Why the First 90 Days Can Determine the Next 10 Years Executive Summary The decision […]
On January 14, 2026, FINRA filed SR-FINRA-2026-001 with the U.S. Securities and Exchange Commission, proposing […]
Q1 Annual Testing Kickoff The Moment That Matters Q1 is not just the start of […]
Why the First 90 Days Can Determine the Next 10 Years Executive Summary The decision […]