Inaccurate Disclosures Lead to $4.6M Restitution Order for Firm
A recent FINRA settlement highlights the importance of accurate customer [...]
15
01, 2026
15
01, 2026
Understanding the SEC’s Marketing Rule
The SEC’s modernized Marketing Rule has reshaped how investment advisers [...]
15
01, 2026
SEC Proposal May Redefine RIA “Small Entity” Status
The SEC has proposed amendments to how it defines “small [...]
14
01, 2026
Data Privacy Week: Making Data Protection Everyone’s Responsibility
Data Privacy Week reminds us that protecting sensitive information isn't [...]
7
01, 2026
Quest CE Releases New 529 Plans: Rules and Responsibilities Course
MILWAUKEE, WI – Quest CE, trusted provider of compliance training and tracking [...]
15
12, 2025
Inside FINRA’s 2026 Oversight Report
FINRA has released its 2026 Annual Regulatory Oversight Report earlier [...]
11
12, 2025
FINRA Panel Orders $1.2M Payment
A FINRA arbitration panel has ordered a former Texas-based financial [...]
11
12, 2025
Supervision Gaps Spark $3M FINRA Penalty
FINRA recently fined a broker-dealer $3 million and ordered $2 [...]
11
12, 2025
SEC Examination Priorities for 2026: What Firms Need to Know
The SEC’s Division of Examinations has released its 2026 Examination [...]
10
12, 2025
Quest CE Named a 2026 RegTech100 Winner!
MILWAUKEE, WI – Quest CE, a trusted provider of compliance [...]
