How to Prevent Holiday Gift-Giving That Breaks FINRA’s Rules
With November right around the corner, it’s important that compliance [...]
14
10, 2021
14
10, 2021
FINRA Urges Compliance with FinCEN’s AML/CFT Priorities
The Financial Industry Regulatory Authority (FINRA) is encouraging member firms [...]
14
10, 2021
Cybersecurity Awareness Month: Spotlight on Training
Cybersecurity is one of the most significant issues facing the [...]
20
09, 2021
FINRA Conducts Sweep of Social Media “Finfluencers”
The Financial Industry Regulatory Authority (FINRA) is conducting an exam [...]
3
09, 2021
[Webinar] An Inside Look at Today’s Top CE Trends and Best Practices
Now, perhaps more then ever, insurance companies and asset managers [...]
18
08, 2021
Mid-Year Recap: Top 10 Firm Element Courses
The end of Summer also means that school is just [...]
18
08, 2021
SEC Approves Rule to Target High-Risk Firms
The Securities and Exchange Commission (SEC) recently approved a Financial [...]
18
08, 2021
FINRA Conducts Sweep Exam on Options Accounts
The Financial Industry Regulatory Authority (FINRA) announced recently that it [...]
12
08, 2021
Quest CE Releases Course on Mergers & Acquisitions
MILWAUKEE – Quest CE, premier provider of compliance training and [...]
10
08, 2021
New Course Provides AML Regulatory Guidance
MILWAUKEE – Quest CE, premier provider of compliance training and [...]
