CE Council Releases Q1 Firm Element Highlights
The Securities Industry/Regulatory Council on Continuing Education (Council) recently released [...]
14
04, 2023
17
03, 2023
Three Takeaways from the 2023 IAA Compliance Conference
Quest CE joined 500+ other industry peers at the IAA [...]
13
02, 2023
SEC Issues Risk Alert on Reg BI Policy Failures
The SEC recently released a risk alert related to Regulation [...]
13
01, 2023
Eight Takeaways from FINRA’s 2023 Exam Priorities
On January 10, 2023, the Financial Industry Regulatory Authority, Inc. [...]
13
01, 2023
SEC Issues New Guidance on Marketing Rule
Nearly two months after the effective compliance date of the [...]
19
12, 2022
Your Checklist for Firm Element/IAR CE Compliance
With the end of the year just around the corner, [...]
16
12, 2022
FINRA & SEC Take on Social Media Misuse
FINRA Fines/Suspends Rep for Facebook Posts FINRA recently took action [...]
14
10, 2022
Are you Ready for these 2023 CE Changes?
Coming this January, some big changes are coming down the [...]
19
09, 2022
DOJ Circles Back on Corporate Compliance Programs
In a speech on September 15, 2022, Deputy Attorney General [...]
16
09, 2022
CE Council Releases Firm Element Quarterly Highlights
The Securities Industry/Regulatory Council on Continuing Education (Council) recently released [...]
