The CCO’s Guide to Building an Effective Firm Element Program for 2025
Recent FINRA examination findings show that many firms struggle with [...]
14
03, 2025
14
03, 2025
Fintech Broker-Dealer Hit With $29.75 Million Settlement
A prominent fintech broker-dealer has been hit with a significant [...]
14
03, 2025
Ethical AI Use in Finance from a Compliance Perspective
Compliance officers are increasingly facing the challenge of overseeing artificial [...]
10
03, 2025
Quest CE Announces New Due Diligence & Best Interest Standards Course
MILWAUKEE, WI – Quest CE, trusted provider of compliance training [...]
4
03, 2025
Quest CE Introduces Split Billing Feature for Seminar Management
Quest CE, a leading provider of compliance training and tracking [...]
4
03, 2025
Quest CE Announces New FINRA & SEC Examination Priorities for 2025 Course
MILWAUKEE, WI – Quest CE, trusted provider of compliance training [...]
14
02, 2025
The $11M Cost of Failed Supervision
A recent FINRA arbitration case resulting in over $11 million [...]
14
02, 2025
Webinar Recap: A Roadmap to IAR CE Compliance
Understanding and implementing IAR CE requirements continues to be a [...]
14
02, 2025
Navigating FINRA’s 2025 Exam Priorities
FINRA's latest Regulatory Oversight Report signals significant shifts in regulatory [...]
10
02, 2025
Quest CE to Exhibit at 2025 IAA Compliance Conference
MILWAUKEE, WI – Quest CE, a leading provider of compliance [...]
