Four Things FINRA Wants You to Know about CCO Liability
For many firms, chief compliance officers (CCOs) are often [...]
18
04, 2022
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 [...]
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 [...]
