Five Things Every IA Firm CCO Needs to Know
Have you ever wondered what areas of compliance the SEC [...]
17
07, 2023
16
06, 2023
SEC Releases Second Risk Alert on Marketing Rule
The Securities and Exchange Commission (SEC) is delivering on its [...]
16
06, 2023
Senior Exploitation Totals $28.3 Billion Price Tag
Using a first-of-its-kind methodology, the AARP released a recent report [...]
16
06, 2023
Tennessee Adopts IAR CE Requirement for 2024
Tennessee is the latest state to adopt NASAA's IAR CE [...]
12
05, 2023
SEC Issues Risk Alert on Safeguarding Customer Records
The SEC’s Division of Examinations staff recently issued a risk [...]
14
04, 2023
CE Council Releases Q1 Firm Element Highlights
The Securities Industry/Regulatory Council on Continuing Education (Council) recently released [...]
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 [...]
