FINRA 2026 Recap: AI, Modernization, and the Future of Supervision
At FINRA’s 2026 Annual Conference, one message came through clearly: the industry [...]
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06, 2026
27
05, 2026
[Webinar] Reg S-P Is Here: What Firms Need to Know
- REGISTER BELOW - Milwaukee, WI – June 2026 – Quest CE, [...]
26
05, 2026
Quest CE Releases New Course, “Fractional Shares and Modern Trading”
MILWAUKEE, WI – Quest CE, a trusted provider of compliance [...]
21
05, 2026
Quest CE Releases New Course, “Cayman Islands AML Fundamentals”
MILWAUKEE, WI – Quest CE, a trusted provider of compliance [...]
14
05, 2026
FINRA Gives Broker-Dealers Earlier Exam Visibility
FINRA is introducing changes that give broker-dealers greater visibility into [...]
14
05, 2026
Small Firms, Your Reg S-P Deadline Is Almost Here
For smaller firms subject to the SEC’s amended Regulation S-P [...]
14
05, 2026
$7M ETF Complaint Highlights Suitability Risks
A recent investor complaint against a registered representative highlights the ongoing risks [...]
12
05, 2026
Quest CE Releases New Course on Blue Sky Laws
MILWAUKEE, WI – Quest CE, a trusted provider of compliance [...]
12
05, 2026
Quest CE Releases New Course on a Wholesaler’s Guide to Gifts & Entertainment
MILWAUKEE, WI – Quest CE, a trusted provider of compliance [...]
30
04, 2026
Quest CE Named One of the Nation’s “Best & Brightest” Companies
MILWAUKEE, WI,- April 30, 2026- Quest CE, a leading compliance technology [...]
