FINRA Proposes Allowing Performance Projections Under Rule 2210
FINRA has proposed amendments to Rule 2210 that would allow [...]
13
02, 2026
12
02, 2026
Quest CE to Exhibit at 2026 IAA Compliance Conference
MILWAUKEE, WI – Quest CE, a leading provider of compliance [...]
12
02, 2026
FinCEN Pushes Adviser AML Rule to 2028
FinCEN has formally delayed the long-anticipated anti-money laundering (AML) rule [...]
12
02, 2026
FINRA Fines Firm $60K for Reg BI and Supervisory Failures
FINRA recently fined a broker-dealer $60,000 and issued a censure [...]
12
02, 2026
SEC Alleges $9.8M Theft From Elderly Client
The SEC has charged a licensed investment adviser with allegedly [...]
3
02, 2026
Quest CE Releases New Swap Dealer Activities Course
MILWAUKEE, WI – Quest CE, trusted provider of compliance training [...]
27
01, 2026
Quest CE Releases New AML Today Course
MILWAUKEE, WI – Quest CE, trusted provider of compliance training [...]
26
01, 2026
[Webinar] 2026 FINRA & SEC Exam Priorities for Compliance
- REGISTER BELOW - Join us on February 10th at 12 [...]
15
01, 2026
Quest CE Releases 2026 IAR CE Catalog
MILWAUKEE – Quest CE, leading provider of innovative compliance technology, [...]
15
01, 2026
Quest CE Releases New Crypto & Blockchain Essentials Course
MILWAUKEE, WI – Quest CE, trusted provider of compliance training [...]
