SEC Alleges $9.8M Theft From Elderly Client
The SEC has charged a licensed investment adviser with allegedly [...]
12
02, 2026
3
02, 2026
Quest CE Releases New Swap Dealer Activities Course
MILWAUKEE, WI – Quest CE, trusted provider of compliance training [...]
27
01, 2026
Quest CE Releases New AML Today Course
MILWAUKEE, WI – Quest CE, trusted provider of compliance training [...]
26
01, 2026
[Webinar] 2026 FINRA & SEC Exam Priorities for Compliance
- REGISTER BELOW - Join us on February 10th at 12 [...]
15
01, 2026
Quest CE Releases 2026 IAR CE Catalog
MILWAUKEE – Quest CE, leading provider of innovative compliance technology, [...]
15
01, 2026
Quest CE Releases New Crypto & Blockchain Essentials Course
MILWAUKEE, WI – Quest CE, trusted provider of compliance training [...]
15
01, 2026
Inaccurate Disclosures Lead to $4.6M Restitution Order for Firm
A recent FINRA settlement highlights the importance of accurate customer [...]
15
01, 2026
Understanding the SEC’s Marketing Rule
The SEC’s modernized Marketing Rule has reshaped how investment advisers [...]
15
01, 2026
SEC Proposal May Redefine RIA “Small Entity” Status
The SEC has proposed amendments to how it defines “small [...]
14
01, 2026
Data Privacy Week: Making Data Protection Everyone’s Responsibility
Data Privacy Week reminds us that protecting sensitive information isn't [...]
