FINRA Develops First Ever Machine-Readable Rule Book
In a revolutionary move for the industry, FINRA has launched [...]
14
11, 2022
11
11, 2022
SEC Proposes New Oversight Requirements for RIAs
For registered investment advisers across the country, a new rule [...]
1
11, 2022
[Webinar] A Guide to Implementing NASAA’s New IAR CE Rule
-- Register Below -- The end of the year is [...]
18
10, 2022
Quest CE Releases New Course on Research Analysts
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
14
10, 2022
8 Reasons Why Cybersecurity Should Be Your #1 Priority
For the month of October, cybersecurity is at the forefront [...]
14
10, 2022
Are you Ready for these 2023 CE Changes?
Coming this January, some big changes are coming down the [...]
7
10, 2022
[Webinar] Mobilizing the SEC’s New Marketing Rule
--- REGISTER BELOW --- The world of marketing is drastically [...]
19
09, 2022
Will You be Joining FINRA’s New Pilot Program?
If your firm is anything like us, you understand how [...]
19
09, 2022
DOJ Circles Back on Corporate Compliance Programs
In a speech on September 15, 2022, Deputy Attorney General [...]
16
09, 2022
CE Council Releases Firm Element Quarterly Highlights
The Securities Industry/Regulatory Council on Continuing Education (Council) recently released [...]
