Log in or register
Share on LinkedInShare on LinkedIn

ARTICLE · 25 FEBRUARY 2020

FINRA Proposed Enhancements To Continuing Education Requirements

Hogan Lovells Cadwalader
Hogan Lovells Cadwalader
Contributor
Hogan Lovells Cadwalader

Hogan Lovells Cadwalader

Hogan Lovells Cadwalader is a global law firm trusted by clients to deliver on complex, high-stakes...

View firm profile
Explore more from Hogan Lovells Cadwalader

FINRA requested comments on proposed enhancements to the continuing education requirements for securities industry professionals.

United StatesConsumer Protection
Hogan Lovells Cadwalader
Hogan Lovells Cadwalader
Author LinkedIn connections

FINRA requested comments on proposed enhancements to the continuing education requirements for securities industry professionals.

Based on recommendations submitted by the Securities Industry / Regulatory Council on Continuing Education, FINRA is considering proposed improvements, which would update the:

  • Regulatory Element to (i) offer annual training that includes more relevant information, (ii) implement diverse instructional formats, (iii) make public the learning topics prior to the training and (iv) revise related management systems;
  • Firm Element to take into consideration other training requirements, revise the guidance and resources used by firms and create a content catalog; and

We operate a free-to-view policy, asking only that you register in order to read all of our content. Please login or register to view the rest of this article.

Register for freeORLog in

The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.

View source

Related Articles

Legal Intelligence Newsletters: sign up for the latest legal and regulatory news on your chosen topics

Read more about

Related Comparative Guides

See more popular content from

Article

New York City’s Click-to-Cancel Rule: What Businesses Need To Know

New York City has enacted the nation's first municipal click-to-cancel rule, requiring businesses to provide clear disclosures, simple cancellation processes, and advance renewal notices for subscription services. With approximately 30 states already implementing similar regulations and the federal landscape in flux following the FTC's vacated rule, companies now face an increasingly complex patchwork of compliance obligations. The rule takes effect October 1, 2026, and imposes penalties ranging from $525 t
United StatesConsumer Protection
Skadden, Arps, Slate, Meagher & Flom LLP
Skadden, Arps, Slate, Meagher & Flom LLP
Article

FCC Replaces TCPA “Revoke All” Rule: New Category-Specific Opt-Out Rules For Robocalls And Robotexts

The Federal Communications Commission has fundamentally altered how businesses must handle consumer opt-out requests under the Telephone Consumer Protection Act, replacing the broad "revoke all" mandate with a more nuanced, category-specific approach for informational messages. This regulatory shift allows companies to maintain separate consent tracks for different types of non-marketing communications while preserving stricter opt-out requirements for telemarketing messages. The Updated Order introduces ne
United StatesConsumer Protection
Bass, Berry & Sims PLC
Bass, Berry & Sims PLC
Article

Amway To Pay $225 Million Over Alleged False Earnings Claims And Fabricated Sales

The FTC and Washington state secured a record $225 million settlement from Amway and affiliated groups over allegations they misled recruits about earnings potential while pressuring them to buy products with little retail opportunity. The complaint reveals that over three-quarters of U.S. product volume was sold to IBOs themselves rather than retail customers, with fabricated sales reporting masking the recruitment-driven model. The settlement's injunctive provisions establish new standards for earnings cl
United StatesConsumer Protection
Frankfurt Kurnit Klein & Selz PC
Frankfurt Kurnit Klein & Selz PC
Article

FTC Asks Whether Platform Ad Tools Fuel Impersonation Scams

The Federal Trade Commission is exploring whether digital platforms should bear greater responsibility for preventing impersonation ads that falsely pose as legitimate businesses or government agencies. Through an Advance Notice of Proposed Rulemaking, the agency seeks public input on potential amendments to its existing Impersonation Rule, examining how ad-optimization tools and platform practices...
United StatesConsumer Protection
Greenberg Traurig
Greenberg Traurig
Article

CONGRESS FIRES BACK?: New Bill Seeks To Revive Written Consent Rule Under TCPA

Congress has introduced the Stop Spam Calls Act, directing the FCC to revise the definition of prior express written consent under the TCPA to require one-to-one seller consent and logical relevance between sellers and website content. This legislative move comes as the Fifth Circuit questions whether written consent is even required under the TCPA, creating a fascinating tension between congressional intent and judicial interpretation that could reshape telemarketing compliance.
United StatesConsumer Protection
Troutman Amin LLP
Troutman Amin LLP
Article

The Coming State-Law Litigation Wave Of 2026-27: “Subscription Trap” Class Actions

State-law class actions targeting automatic renewal and subscription practices are accelerating, creating significant litigation risk for companies that rely on recurring revenue models. Recent settlements demonstrate that even technical compliance failures can lead to seven-figure exposure, with California, Illinois, and Virginia statutes driving the most aggressive litigation.
United StatesConsumer Protection
Benesch, Friedlander, Coplan & Aronoff LLP
Benesch, Friedlander, Coplan & Aronoff LLP
Article

FTC Announces Settlement And Articulates Knowledge Standard For Payment-Processor Liability

The Federal Trade Commission has reached a settlement with a payment processor and four affiliated entities over allegations that they knowingly facilitated deceptive merchants, including foreign tech-support operations, in accessing the U.S. card-payment system. The case resulted in a $4.85 million monetary judgment and features a significant Joint Statement from FTC leadership establishing a knowledge standard for unfair payment-processing claims under Section 5.
United StatesConsumer Protection
Greenberg Traurig
Greenberg Traurig
Article

The Next Chapter Of Digital Accessibility: FCC Seeks Input On Modernizing Its Rules

The Federal Communications Commission is seeking public feedback on modernizing its accessibility framework to address rapid changes in consumer technology. The draft Notice of Proposed Rulemaking examines whether existing rules keep pace with today's communications marketplace or inadvertently hinder innovation in accessibility solutions.
United StatesMedia, Telecoms, IT, Entertainment
Hogan Lovells Cadwalader
Hogan Lovells Cadwalader
Article

New York City Rent Freeze Faces Legal Challenge As Court Considers Landlords’ Claims

Landlords of rent stabilized buildings in New York City have filed a lawsuit challenging the rent freeze passed by the Rent Guidelines Board, questioning the Board's independence and data integrity. With operating costs rising 31% over five years while the Board voted 7-1 for a freeze affecting 1 million apartments, the case raises critical questions about the balance between tenant protection and landlord viability.
United StatesReal Estate and Construction
Hogan Lovells Cadwalader
Hogan Lovells Cadwalader
Article

FCC Updates TCPA Consent Revocation Rules, Seeks Comment On Further Changes

The Federal Communications Commission has amended its TCPA consent revocation rules, introducing category-specific opt-outs for informational robocalls and allowing callers to designate exclusive revocation methods. The changes aim to balance consumer control with operational flexibility while addressing concerns about the previous "revoke all" requirement that could inadvertently block wanted communications like fraud alerts and security notifications.
United StatesMedia, Telecoms, IT, Entertainment
Hogan Lovells Cadwalader
Hogan Lovells Cadwalader
Article

ARPA-H To Expedite Clinical Trials With SURPASS And Other AI Related Programs

The U.S. Advanced Research Projects Agency for Health has launched SURPASS, a groundbreaking program designed to revolutionize clinical trial design through AI-powered simulations, real-time data analysis, and adaptive modifications. How will these innovations reshape pharmaceutical development timelines and maintain America's competitive position in the global drug development landscape?
United StatesFood, Drugs, Healthcare, Life Sciences
Hogan Lovells Cadwalader
Hogan Lovells Cadwalader
Article

FRB Vice Chair For Supervision Bowman Announces Five-Region Supervisory Structure And Further Regulatory Reforms

Federal Reserve Vice Chair Michelle Bowman has announced a major restructuring of the Federal Reserve's supervisory function into five regional divisions, moving away from the current twelve Reserve Bank district model. The reorganization aims to address accountability concerns identified in the Silicon Valley Bank failure review, while Bowman also previewed significant changes to regulatory thresholds, the large bank tailoring framework, and supervisory ratings.
United StatesFinance and Banking
Hogan Lovells Cadwalader
Hogan Lovells Cadwalader