FINRA Forward: Evolving the Regulatory Framework
In an era of rapid technological change and evolving workplace [...]
16
05, 2025
16
05, 2025
SEC Uncovers $91M Ponzi Scheme
In a recent enforcement action, the SEC charged a trio [...]
8
05, 2025
Quest CE to Showcase at FINRA Annual Conference
MILWAUKEE, WI – Quest CE, a leading provider of compliance [...]
2
05, 2025
Quest CE Releases Cybersecurity Course
MILWAUKEE, WI – Quest CE, trusted provider of compliance training [...]
2
05, 2025
Regulatory Element vs. Firm Element: When & What Counts?
Continuing Education (CE) isn't just a checkbox—it's the backbone of [...]
23
04, 2025
Quest CE Releases New Insider Trading Course
MILWAUKEE, WI – Quest CE, trusted provider of compliance training [...]
11
04, 2025
FINRA’s New RSL Designation: What You Need to Know
As remote and hybrid work arrangements become the norm, FINRA’s [...]
11
04, 2025
FINRA Announces Initiatives to Reduce Regulatory Burdens
In a recent address at a Securities Industry and Financial [...]
11
04, 2025
NASAA Moves to Prohibit Use of “Advisor” Title
The North American Securities Administrators Association (NASAA) recently voted to [...]
11
04, 2025
Quest CE Releases New Course on Conflicts of Interest
MILWAUKEE, WI – Quest CE, trusted provider of compliance training [...]
