Regulators Caution Investors on Promise of AI
Artificial intelligence (AI) and other emerging technologies like crypto assets [...]
14
02, 2024
14
02, 2024
Treasury Proposes New AML Rules for Investment Advisers
The U.S. Department of the Treasury's Financial Crimes Enforcement Network [...]
12
02, 2024
Three Enforcement Trends Under FINRA’s New Top Cop
FINRA recently named Bill St. Louis as its new Executive [...]
5
02, 2024
Quest CE Introduces Form ADV Part 2B Brochure Supplement Tool
MILWAUKEE, WI, February 5, 2024 -- Quest CE, trusted provider [...]
15
12, 2023
Quest CE Reveals 14 New IAR CE Courses for 2024
MILWAUKEE – Quest CE, leading provider of innovative compliance technology, [...]
4
12, 2023
Important 2023 IAR CE Renewal Reminders
To ensure all investment advisers IAR CE credits get [...]
15
11, 2023
SEC Enforces Second-Highest Year for Penalties
The Securities and Exchange Commission (SEC) recently announced its Enforcement [...]
13
10, 2023
FINRA Roundup: A Lesson in Unsuitable Investments
In this month’s FINRA Disciplinary Actions roundup, we saw countless [...]
10
08, 2023
Five Tips to Prevent Off-Channel Communication Issues
Several more Wall Street banks have been hit with substantial [...]
9
08, 2023
SEC Proposes Rule to Address Growing Use of AI
The Securities and Exchange Commission (SEC) proposed new rules and [...]
