Tag: Licensing
The rising need for automated compliance technology in finance
In the financial services sector, tracking employee compliance such as licensing, registrations, and continuing education is a complex task.
Navigating FINRA Renewals: Essential Guide for Financial Firms
As the end of the year draws near, financial firms are under the gun to complete their annual FINRA and state/jurisdiction registration renewals. With deadlines fast approaching, it's critical to have a robust framework in place for timely, cost-effective, and efficient renewals, not just for this year but for the future as well.
