$6 Million Churning Scheme Leads to Reg BI Suspensions
In a recent development that underscores the importance of ethical [...]
11
10, 2024
9
10, 2024
Nebraska Set to Join List of States Implementing IAR CE in 2025
Nebraska has announced its adoption of NASSA’s Investment Adviser Representative [...]
9
10, 2024
New Jersey Joins List of States Adopting IAR CE in 2025
New Jersey is one of the latest states to adopt [...]
8
10, 2024
Quest CE to Exhibit at NSCP National Conference 2024
MILWAUKEE, WI – October 8, 2024– Quest CE, premier provider [...]
16
09, 2024
SEC Cracks Down on Marketing Rule Violations
The Securities and Exchange Commission (SEC) has launched another enforcement [...]
16
09, 2024
Warren Challenges FINRA on Enforcement Decline
Senator Elizabeth Warren has once again set her sights on [...]
13
09, 2024
[Webinar] Decoding FINRA Rule 3110: Key Insights for Branch Inspections
-Register Below- Quest CE is set to host an upcoming [...]
10
09, 2024
Navigating IAR CE: Key Requirements and FAQs
The IAR CE requirement has quickly taken the investment advisory [...]
30
08, 2024
A Comprehensive Guide to Hosting Your Next Live CE Event
As summer winds down, it's not just students who need [...]
29
08, 2024
Why CE “Gift Cards” Make the Perfect Holiday Gift
As the holiday season approaches, wholesalers in the financial services [...]
