Quest CE

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FINRA Addresses Exam Cheating at Board Meeting

A recent influx of cheating scandals at testing centers has prompted FINRA to create new procedures on how to identify, and eliminate, cheating in the future. Read More

FINRA Releases New Problem Codes & AI White Paper

In this article we recap FINRA’s new white paper on artificial intelligence and the addition of two new "problem codes" to report customer complaint information. Read More

MSRB Proposes Rule Changes to Align with Reg BI

Both FINRA and the MSRB have proposed several rule changes to better align their regulation with the SEC's Regulation Best Interest ("Reg BI"). Read More

Five Myths about Taking your ACM Online

If you’re one of these people thinking about taking your live meeting online, but are a bit hesitant, this article helps dispel some common misconceptions we’ve encountered when firms are considering the transition to our on-demand compliance meeting solution. Read More

Don’t Fall Victim to this FINRA Phishing Scam

FINRA is warning firms to beware of a recent phishing scheme that involves fraudulent emails that claim to be from FINRA officers. Read More

Tips to Maintain a *Remote* Culture of Compliance

In this article, we offer three tips to strengthen the foundation of your culture of compliance, while working remote. Read More

CE Council Releases Q1 2020 Firm Element Advisory

Find out which regulatory topics the Council on Continuing Education (CE Council) recently published in its Q1 2020 Firm Element Advisory (FEA).
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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