SEC Slaps Firm with $10 Million Fine for Cyber Incident
In a recent development, the Securities and Exchange Commission (SEC) [...]
24
05, 2024
22
05, 2024
Key Considerations When Choosing an IAR CE Provider
As a firm seeking an Investment Adviser Representative (IAR) Continuing [...]
21
05, 2024
Quest CE Releases New Course on Advanced Strategies in AML
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
21
05, 2024
Quest CE Releases New Embracing Diversity Insurance CE Course
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
20
05, 2024
The Future of Regulation: FINRA 2024 Takeaways
The 2024 FINRA Annual Conference provided a wealth of information [...]
16
05, 2024
SEC and FinCEN Propose Customer Identification Rules for Investment Advisors
The U.S. Securities and Exchange Commission (SEC) and the Financial [...]
16
05, 2024
Firm Fined Over $700,000 for Regulatory Violations
In a recent development, the Financial Industry Regulatory Authority (FINRA) [...]
1
05, 2024
Quest CE Gears Up for 2024 FINRA Annual Conference
MILWAUKEE, WI – May 1st, 2024– Quest CE, a leading [...]
24
04, 2024
“Hot Topics” For Your 2024 Firm Element Program
As FINRA and the SEC release their 2024 exam priorities, [...]
11
04, 2024
FINRA Intensifies Enforcement of Reg BI
In a recent settlement with the Financial Industry Regulatory Authority [...]
