FINRA Could Reshape How Firms Review Retail Communications
FINRA is considering significant changes to how broker-dealers review and [...]
13
08, 2026
13
08, 2026
AI Policies Are in Place. Is Oversight Keeping Up?
Artificial intelligence has quickly moved from an emerging concern to [...]
13
08, 2026
What the SEC’s E-Delivery Proposal Could Mean for Firms
The Securities and Exchange Commission has proposed a new framework [...]
13
08, 2026
FINRA Previews Potential 2027 Regulatory Element Topics
FINRA and the Securities Industry/Regulatory Council on Continuing Education have [...]
6
08, 2026
Quest CE Releases New Course On Government-Sponsored Enterprise Securities
MILWAUKEE, WI – Quest CE, a trusted provider of compliance [...]
3
08, 2026
Quest CE Expands Customer Support with New Self-Service Knowledge Base
MILWAUKEE, WI, August 3, 2026 – Quest CE, a leading [...]
3
08, 2026
Quest CE Expands ADV Part 2B Solution with New Workflow Automation
Quest CE has introduced new enhancements to its ADV Part [...]
14
07, 2026
SEC Fines Broker-Dealer $7.5 Million for AML Monitoring Failures
A recent SEC enforcement action serves as a reminder that [...]
14
07, 2026
What FINRA’s Enforcement Review Could Mean for Member Firms
As part of its FINRA Forward initiative, FINRA recently released [...]
13
07, 2026
2026 Mid-Year Recap: Top 10 Firm Element Courses
As we move through 2026, one thing is becoming clear: [...]
