Year-End CE Deadline: Due December 31st
As we approach the final days of 2024, compliance officers [...]
16
12, 2024
16
12, 2024
Major Continuing Education Fraud Exposed by FINRA
Widespread Cheating Scheme Uncovered FINRA has unveiled an extensive cheating [...]
13
12, 2024
SEC Financial Remedies Hit Historic High in 2024
The SEC's enforcement statistics for fiscal year 2024 reveal a [...]
10
12, 2024
Quest CE Releases New Course on Protecting Vulnerable Investors
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
3
12, 2024
Minnesota Mandates IAR Continuing Education Starting 2025
Minnesota is the latest to adopt NASAA's IAR CE model [...]
18
11, 2024
SEC Examination Priorities for 2025: Key Areas of Focus Revealed
The SEC's Division of Examinations has released its examination priorities [...]
18
11, 2024
Conference Insights: Our Key Takeaways from NSCP
In October, our team had the opportunity to attend the [...]
12
11, 2024
NASAA’s Memo on End of Year IAR CE Processing
The North American Securities Administrators Association (NASAA) has released important [...]
8
11, 2024
Maximizing Your CE Credits: CFP® and IAR Dual Credit Guide
Are you juggling both CFP® and IAR CE this year? [...]
23
10, 2024
Rhode Island Becomes Latest State to Adopt IAR CE Requirement in 2025
Rhode Island is the latest to adopt NASAA’s IAR CE [...]
