FINRA Issues Reminder Notice for Regulatory Element Deadline
Is FINRA signaling concern over firm members meeting the new [...]
10
08, 2023
10
08, 2023
How to Apply Regulatory Element CE to IAR CE
With the introduction of FINRA's annual Regulatory Element CE requirement [...]
10
08, 2023
Five Tips to Prevent Off-Channel Communication Issues
Several more Wall Street banks have been hit with substantial [...]
9
08, 2023
SEC Proposes Rule to Address Growing Use of AI
The Securities and Exchange Commission (SEC) proposed new rules and [...]
19
07, 2023
Quest CE Publishes New Books and Records FE Course
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
17
07, 2023
Five Things Every IA Firm CCO Needs to Know
Have you ever wondered what areas of compliance the SEC [...]
12
07, 2023
Quest CE Releases New MSRB Rule G-3 FE Course
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
10
07, 2023
Quest CE Reveals New Super CE Technology
MILWAUKEE -- Quest CE, trusted provider of compliance technology, is [...]
6
07, 2023
Florida Becomes Latest State to Adopt IAR CE Requirement
Florida is the latest state to adopt NASAA’s IAR CE [...]
6
07, 2023
North Dakota Joins List of States Adopting IAR CE in 2024
North Dakota is the latest state to adopt NASAA’s IAR [...]
