Quest CE

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What you Need to Know about FINRA’s CE Proposal

If you're involved in CE oversight at your firm, the following article summarizes FINRA's proposal to enhance it's continuing education program for securities professionals. Read More

FINRA Urges Firms to Review Pandemic-Related BCP

Due to the recent outbreak of coronavirus disease (COVID-19), FINRA has issued a notice reminding firms to consider business continuity planning in the event of a pandemic in the United States. Read More

FINRA’s Top Five Fine Categories from 2019

According to the report, FINRA fines decreased to $44 million in 2019 from $61 million in 2018, a decline of 28%. Read More

SEC Offers Tips to Bolster Firms’ Cybersecurity Plans

The OCIE's "Cybersecurity and Resiliency Observations" goes into significantly more detail than previous risk alerts released on the topic and is formatted in a user-friendly format that allows firms to easily reflect on their own cybersecurity practices. Read More

California Releases “Redlines” to CCPA Regulation

California’s attorney general has released “redlines” to its Consumer Privacy Act, which holds an enforcement date of July 1, 2020. Read More

The 25 Most Hacked Passwords of 2019

Find out if your password is on the list of "most hacked passwords from 2019." Hint, if you're using "password," you should stop immediately. Read More

Top 10 Firm Element Courses from 2019

What better way to jump into a new compliance year then by recapping our top ten Firm Element courses from 2019? Read More

SEC Releases Top Seven Exam Priorities for 2020

According to OCIE’s 2020 examination priority list, new investment advisors and those investment advisors registered but never examined prior, can expect a greater likelihood of examination in 2020. Read More

FINRA-Exam-Findings

FINRA Releases 2020 Examination Priorities Letter

This year’s letter focused on broker-dealers’ compliance with the Securities and Exchange Commission’s (SEC) Regulation Best Interest (Reg BI) and the Customer Relationship Summary, or Form CRS. Read More

How to Prepare for California’s Consumer Privacy Act

The California consumer privacy law takes effect on January 1, 2020. In this article, we discuss who it affects, key provisions of the act and ways your firm can prepare. Read More