SEC Issues Risk Alert on Safeguarding Customer Records
The SEC’s Division of Examinations staff recently issued a risk [...]
12
05, 2023
11
05, 2023
Quest CE Releases New ‘Treasury Securities’ FINRA Course
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
8
05, 2023
Quest CE Releases New Firm Element AML Course
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
25
04, 2023
Quest CE to Exhibit at 2023 FINRA Annual Conference
MILWAUKEE – April 25, 2023 – Quest CE, trusted provider [...]
17
04, 2023
FINRA Revives Inspection Pilot Program Proposal
According to a filing last week, FINRA has submitted an [...]
14
04, 2023
Colorado Latest State to Adopt IAR CE Requirement
Colorado is the latest state to adopt NASAA's IAR CE [...]
14
04, 2023
CE Council Releases Q1 Firm Element Highlights
The Securities Industry/Regulatory Council on Continuing Education (Council) recently released [...]
11
04, 2023
[Webinar] Preparing for FINRA and the SEC’s 2023 Exam Priorities
— Register Below — FINRA and the SEC have released [...]
10
04, 2023
How to Write your Needs Analysis/Written Training Plan
Q1 and Q2 are usually when firms find themselves ready [...]
5
04, 2023
Quest CE Releases AML and Private Equity Course
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
