FINRA Cracks Down on Senior Abuse this Summer
Despite the changes brought on by the COVID-19 pandemic, FINRA [...]
14
09, 2020
17
08, 2020
SEC Highlights Risks to Firms Due to COVID-19
The SEC’s Office of Compliance and Inspections and Examinations (OCIE), [...]
17
08, 2020
FINRA Warns Firms of Copycat Website
FINRA has issued an alert to its member firms warning [...]
17
08, 2020
FINRA-Registered Firms, Reps Continue to Decline
The total number of broker-dealers registered with FINRA continues to [...]
5
08, 2020
Quest CE Releases New CFP Ethics Course
UPDATED – August 5, 2020 – Quest CE, premier provider [...]
5
08, 2020
Quest CE Releases Course on MSRB Rule G-43
MILWAUKEE – Quest CE, premier provider of compliance training and [...]
3
08, 2020
Quest CE Releases Course Covering Ethical Issues
MILWAUKEE – Quest CE, premier provider of compliance training and [...]
3
08, 2020
Quest CE Releases Course Covering Ethical Issues
MILWAUKEE – Quest CE, premier provider of compliance training and [...]
28
07, 2020
Five Qualities to Look for in a Webinar CE Platform
So, you’ve decided to begin delivering insurance/designation continuing education (CE) [...]
15
07, 2020
FINRA Tackles What’s Next for Reg BI in New Podcast
Reg BI examinations have already started to take place. But [...]
