CE Council Releases Q1 2022 Firm Element Advisory
The Securities Industry/Regulatory Council on Continuing Education (Council) recently released [...]
The Securities Industry/Regulatory Council on Continuing Education (Council) recently released [...]
On March 30, 2022, the Securities and Exchange Commission’s (“SEC”) [...]
For many firms, chief compliance officers (CCOs) are often [...]
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
According to FINRA’s monthly disciplinary actions, a firm member from [...]
Eversheds Sutherland recently completed its annual review of the disciplinary [...]
145 minutes. That's the average amount of time a person [...]
With November right around the corner, it’s important that compliance [...]
The Financial Industry Regulatory Authority (FINRA) is encouraging member firms [...]
Cybersecurity is one of the most significant issues facing the [...]