Important IAR CE Renewal Reminders
To ensure all IAR CE credits are reported by [...]
6
11, 2026
6
11, 2026
Navigating IAR CE: Key Requirements and FAQs
The IAR CE requirement has quickly taken the investment advisory [...]
4
11, 2026
SEC Alleges False Filings Fueled $130M Fraud Scheme
The SEC has charged two entities with allegedly raising more [...]
4
11, 2026
SEC Approves Performance Projections with Limits
The SEC approved amendments to FINRA Rule 2210, that will [...]
4
11, 2026
What’s New in the SEC’s 2027 Exam Priorities?
The SEC’s Division of Examinations released its fiscal year 2027 [...]
4
11, 2026
FINRA Disciplinary Action Review: October 2026’s Largest Fines
FINRA’s October disciplinary report highlights how gaps in surveillance, transaction [...]
27
10, 2026
Straight From NASAA at NSCP: Washington Adopts IAR CE for 2027
Quest CE heard the news firsthand at the 2026 NSCP [...]
19
10, 2026
Quest CE Releases New Course on Shadow Trading
MILWAUKEE, WI – Quest CE, a trusted provider of compliance [...]
16
10, 2026
Cherry-Picking Allegations Lead to $3M Penalty Agreement
A former bond manager has agreed to pay a $3 [...]
15
10, 2026
SEC Proposes New Crypto Custody Framework for Advisers and Funds
The Securities and Exchange Commission has proposed new rules and [...]
