SEC Enforces Second-Highest Year for Penalties
The Securities and Exchange Commission (SEC) recently announced its Enforcement [...]
15
11, 2023
15
11, 2023
Hawaii Joins List of States Adopting IAR CE in 2024
Hawaii is the latest state to adopt NASAA’s IAR CE [...]
9
11, 2023
Quest CE Releases New Reg BI Course
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
1
11, 2023
Quest CE Releases New AML Firm Element Course
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
16
10, 2023
2023 CE Council Firm Element Survey: Key Takeaways
In May, the CE Council sent out a 2023 Firm [...]
16
10, 2023
CE Council Releases Top Firm Element FAQs
CE Council Releases Top Firm Element FAQs In a recently [...]
13
10, 2023
FINRA Roundup: A Lesson in Unsuitable Investments
In this month’s FINRA Disciplinary Actions roundup, we saw countless [...]
10
10, 2023
That’s a Wrap! Steps to Close out Your Quest CE Program
-- REGISTER BELOW -- Pumpkin spice and apple cider are [...]
9
10, 2023
Top 8 Courses for Cybersecurity Awareness Month
In our increasingly digital world, the importance of cybersecurity cannot [...]
22
09, 2023
IAR CE: Top 10 Frequently Asked Questions
NASAA's investment adviser representative (IAR) CE regulation has gained momentum [...]
