FINRA Fines Firm for Supervisory Failures in Private Placements
FINRA has fined and censured a broker-dealer for failing to [...]
18
08, 2025
11
08, 2025
FINRA’s Proposed Update to Gift Limits in Rule 3220
FINRA has proposed a long-awaited update to Rule 3220, commonly [...]
31
07, 2025
Webinar Recap: Building FINRA-Ready Firm Element CE Programs
To help compliance teams strengthen their Firm Element CE programs [...]
30
07, 2025
FinCEN Postpones AML Rule—Here’s Why Firms Shouldn’t Wait
On July 21, 2025, the Financial Crimes Enforcement Network (FinCEN) [...]
30
07, 2025
Quest CE Releases Two New MSRB Insights Courses
MILWAUKEE, WI – Quest CE, trusted provider of compliance training [...]
24
07, 2025
[Webinar] Demystifying On and Off-Channel Communications
- REGISTER BELOW - Milwaukee, WI – July 2025 – [...]
21
07, 2025
2025 Mid-Year Recap: Top 10 Firm Element Courses
With the first half of 2025 behind us, firms are [...]
18
07, 2025
Quest CE Releases Fixed Income Trading and Reporting Course
MILWAUKEE, WI – Quest CE, trusted provider of compliance training [...]
14
07, 2025
$2.9M in Unauthorized Fees Uncovered By The SEC
A Chicago-based investment advisory firm is facing serious allegations from [...]
11
07, 2025
FINRA’s Remote Oversight Plan Faces Criticism From PIABA
Regulatory inspections have long been a cornerstone of FINRA’s oversight [...]
