Cherry-Picking Allegations Lead to $3M Penalty Agreement
A former bond manager has agreed to pay a $3 [...]
16
10, 2026
15
10, 2026
SEC Proposes New Crypto Custody Framework for Advisers and Funds
The Securities and Exchange Commission has proposed new rules and [...]
15
10, 2026
FINRA Bars Adviser Amid $2.3 Million Client Misappropriation Allegations
FINRA has barred a Houston financial adviser after he refused [...]
15
10, 2026
FINRA Disciplinary Actions: Fines from September
Each month, FINRA publishes disciplinary actions involving firms and registered [...]
12
10, 2026
Quest CE Releases New Course on The SEC Custody Rule
MILWAUKEE, WI – Quest CE, a trusted provider of compliance [...]
12
10, 2026
Quest CE Releases New Course on Information Barriers
MILWAUKEE, WI – Quest CE, a trusted provider of compliance [...]
12
10, 2026
Quest CE Releases New IA Micro-Learning Course on Protecting Client Information
MILWAUKEE, WI – Quest CE, a trusted provider of compliance [...]
8
10, 2026
Why Firms Outsource Firm Element Programs
Firm Element programs require more than selecting courses and assigning [...]
29
09, 2026
Quest CE to Attend NSCP National Conference 2026
MILWAUKEE, WI – Quest CE, a leading provider of compliance [...]
24
09, 2026
Quest CE Releases New Course on Securities-Based Lending
MILWAUKEE, WI – Quest CE, a trusted provider of compliance [...]
