Important IAR CE Renewal Reminders
To ensure all IAR CE credits are reported by [...]
5
11, 2025
29
10, 2025
Quest CE Announces Sexual Harassment Prevention Training for CA
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
16
10, 2025
Five Actions Compliance Teams Can Take to Strengthen Cybersecurity
October marks Cybersecurity Awareness Month, a timely reminder that protecting [...]
16
10, 2025
FINRA Fines Firm $125K Over Disclosure Failures
FINRA has fined a broker-dealer $125,000 for failing to ensure [...]
16
10, 2025
Where National Security Compliance Is Falling Short
As national security enforcement intensifies, a new report from Eversheds [...]
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, [...]
