SEC Issues New Guidance on Marketing Rule
Nearly two months after the effective compliance date of the [...]
13
01, 2023
10
01, 2023
Which States Have Adopted the IAR CE Requirement?
Updated March 18th, 2026 -- 2026 has brought forth a [...]
6
01, 2023
Quest CE Releases Course on Compliance Issues
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
19
12, 2022
Ransomware Surge: Is Your Firm Prepared?
In a notice released to the financial industry, FINRA warns [...]
19
12, 2022
Your Checklist for Firm Element/IAR CE Compliance
With the end of the year just around the corner, [...]
16
12, 2022
FINRA & SEC Take on Social Media Misuse
FINRA Fines/Suspends Rep for Facebook Posts FINRA recently took action [...]
16
12, 2022
CE Council Releases Q4 Firm Element Highlights
The Securities Industry/Regulatory Council on Continuing Education (Council) recently released [...]
2
12, 2022
How to Squeeze More out of your 2023 CE Program Budget
Are you being asked to do more with less for [...]
30
11, 2022
Five Tips for Immediate On-Demand CE Success
Okay, so you read our blog on How to Leverage [...]
14
11, 2022
Recent SEC/FINRA Enforcement Cases & Lessons Learned
Each year, we’re amazed at the amount of talent and [...]
