Lawmakers Urge FINRA to Strengthen ACATS Fraud Protections
Federal lawmakers are urging FINRA to strengthen protections surrounding brokerage [...]
11
09, 2026
11
09, 2026
Senior Client Fraud Highlights Risks of Undisclosed Loans
A former financial adviser has been sentenced to six years [...]
11
09, 2026
SEC Proposes Rescinding Pay-to-Play Rule: What Should Firms Do Now?
The Securities and Exchange Commission has proposed rescinding the political [...]
11
09, 2026
FINRA Disciplinary Action Review: August 2026’s Largest Fines
Each month, FINRA publishes disciplinary actions involving firms and registered [...]
28
08, 2026
What Causes Low Firm Element Training Completion?
A firm can build a thoughtful training plan, select relevant [...]
19
08, 2026
What IAR CE Software Works Best for Multi-State Advisers?
When advisers are registered across multiple states, determining where IAR [...]
19
08, 2026
How to Reduce IAR CE Compliance Gaps
Managing Investment Adviser Representative Continuing Education involves more than giving advisers access [...]
17
08, 2026
Quest CE Releases New Course on Research Analyst Independence
MILWAUKEE, WI – Quest CE, a trusted provider of compliance [...]
13
08, 2026
Quest CE Releases New Course on FINOP Fundamentals
MILWAUKEE, WI – Quest CE, a trusted provider of compliance [...]
13
08, 2026
Quest CE Releases New Course on Prediction Markets
MILWAUKEE, WI – Quest CE, a trusted provider of compliance [...]
