What to Know About FINRA’s CE Transformation
At the beginning of the year, FINRA implemented new changes [...]
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02, 2023
21
02, 2023
Quest CE to Exhibit at 2023 IAA Compliance Conference
MILWAUKEE, WI – February 21, 2023– Quest CE, premier provider [...]
13
02, 2023
Six Takeaways from the SEC’s 2023 Exam Priorities
On February 7th, the SEC released its list of exam [...]
13
02, 2023
SEC Says Yes to “Restricted Firm” ID on BrokerCheck
The SEC recently approved a rule proposal that would allow [...]
13
02, 2023
SEC Issues Risk Alert on Reg BI Policy Failures
The SEC recently released a risk alert related to Regulation [...]
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01, 2023
[Webinar] How Modern Technology can Improve your Branch Audits
— Register Below — We all know how critical branch [...]
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01, 2023
Data Privacy Week: Celebrate with These Six Courses
Data Privacy Week, January 22-28, is an international campaign created [...]
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01, 2023
Eight Takeaways from FINRA’s 2023 Exam Priorities
On January 10, 2023, the Financial Industry Regulatory Authority, Inc. [...]
13
01, 2023
Top 10 Firm Element Courses of 2022
With 2022 in the rear-view mirror, we can’t think of [...]
13
01, 2023
SEC Issues New Guidance on Marketing Rule
Nearly two months after the effective compliance date of the [...]
