FINRA’s Disciplinary Trends: Where Firms Are Falling Short
Each month, FINRA’s disciplinary actions highlight the areas where firms [...]
15
09, 2025
15
09, 2025
Reg BI Breach Leads to $260K in Client Losses
FINRA has suspended a registered representative for nine months and [...]
12
09, 2025
FINRA Fines & Suspends Rep for Off-Channel Messaging
FINRA has suspended and fined a former registered representative after [...]
12
09, 2025
FINRA Reminds Firms of CE Deadlines and Requirements
With the year-end deadline approaching, FINRA has issued a reminder [...]
11
09, 2025
Webinar Recap: Demystifying On- and Off-Channel Communications
With the SEC continuing to scrutinize firms’ recordkeeping and communication [...]
11
09, 2025
Remote vs. In-Person CE Training – What’s Working in 2025?
The conversation around continuing education (CE) delivery has shifted dramatically [...]
2
09, 2025
Important IAR CE Renewal Reminders
To ensure all IAR CE credits are reported by [...]
27
08, 2025
Quest CE Releases New Gift & Estate Taxation Course
MILWAUKEE, WI – Quest CE, trusted provider of compliance training [...]
22
08, 2025
Quest CE Releases Consolidated Audit Trail (CAT) Essentials Course
MILWAUKEE, WI – Quest CE, trusted provider of compliance training [...]
18
08, 2025
Senior Investor Protection Moves to the Forefront
FINRA is stepping up its long-standing efforts to safeguard senior [...]
