Webinar Recap: Demystifying On- and Off-Channel Communications
With the SEC continuing to scrutinize firms’ recordkeeping and communication [...]
11
09, 2025
11
09, 2025
Remote vs. In-Person CE Training – What’s Working in 2025?
The conversation around continuing education (CE) delivery has shifted dramatically [...]
27
08, 2025
Quest CE Releases New Gift & Estate Taxation Course
MILWAUKEE, WI – Quest CE, trusted provider of compliance training [...]
22
08, 2025
Quest CE Releases Consolidated Audit Trail (CAT) Essentials Course
MILWAUKEE, WI – Quest CE, trusted provider of compliance training [...]
18
08, 2025
Senior Investor Protection Moves to the Forefront
FINRA is stepping up its long-standing efforts to safeguard senior [...]
18
08, 2025
FINRA Fines Firm for Supervisory Failures in Private Placements
FINRA has fined and censured a broker-dealer for failing to [...]
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 [...]
