CE Council Releases Q1 2022 Firm Element Advisory
The Securities Industry/Regulatory Council on Continuing Education (Council) recently released [...]
12
05, 2022
18
04, 2022
The SEC’s Top Five Exam Priorities for 2022
On March 30, 2022, the Securities and Exchange Commission’s (“SEC”) [...]
18
04, 2022
Four Things FINRA Wants You to Know about CCO Liability
For many firms, chief compliance officers (CCOs) are often [...]
31
03, 2022
Quest CE Releases Course on Required Minimum Distributions
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
11
03, 2022
FINRA Requires Supervisor to Complete 40 Hours of CE
According to FINRA’s monthly disciplinary actions, a firm member from [...]
11
03, 2022
FINRA Fines Increase by 60% in 2021
Eversheds Sutherland recently completed its annual review of the disciplinary [...]
28
01, 2022
Celebrate Data Privacy Day with these Six Courses
145 minutes. That's the average amount of time a person [...]
14
10, 2021
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
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 [...]
