Where National Security Compliance Is Falling Short
As national security enforcement intensifies, a new report from Eversheds [...]
16
10, 2025
16
10, 2025
Recordkeeping Failures Lead to $850K FINRA Fine
A recent FINRA enforcement action resulted in an $850,000 fine [...]
10
10, 2025
Quest CE Releases New Unauthorized Trading Course
MILWAUKEE, WI – Quest CE, trusted provider of compliance training [...]
2
10, 2025
Quest CE to Attend NSCP National Conference 2025
MILWAUKEE, WI – Quest CE, a leading provider of compliance [...]
29
09, 2025
2025 Firm Element Hot Topics — What Regulators Are Zeroing In On
FINRA’s 2025 Oversight Report and the SEC’s Examination Priorities make [...]
23
09, 2025
How to Choose the Right Branch Audit Tool
If you’re exploring technology to manage your branch audit program, [...]
15
09, 2025
FINRA’s Disciplinary Trends: Where Firms Are Falling Short
Each month, FINRA’s disciplinary actions highlight the areas where firms [...]
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 [...]
