The Financial Industry Regulatory Authority recently released its annual exam findings, identifying improper activity that it wants to stop. Read More

Still need to comply with FINRA's annual compliance meeting requirement in 2018? Provided in this article is a summary of the rule and how to comply. Read More

FINRA fines have increased slightly in the first half of 2018, while restitution has dropped from last year, according to a recent report conducted by Eversheds Sutherland. Read More

Investors mined more than 81 million HempCoin through late 2017 and bought/sold the security on two cryptocurrency exchanges, according to FINRA. Read More

The Securities Industry/Regulatory Council on Continuing Education (CE Council) is seeking comment on enhancements under consideration for the continuing education requirements for registered persons. Read More

At Quest CE, there is no shortage of continuing education courses. The difficult question is determining which training is best suited for your firm. In this article, we outline our top 10 most popular Firm Element courses in 2018, thus far. Read More

The number of brokers and brokerage firms has declined significantly over the years, according to statistics released by FINRA last week. Read More

On July 6, 2018, FINRA released Regulatory Notice 18-20, which encourages member firms to promptly notify FINRA of the firm or its associated persons intend to engage in activities involving digital assets, such as cryptocurrencies and other virtual coins and tokens. Read More

In this article, we identify regulatory and sales practice topics the CE Council recommends firms consider in their 2018 Firm Element training plans. Read More

Each year, the FINRA annual conference gathers together a diverse network of compliance professionals and provides them with the opportunity to discuss the latest regulatory developments and FINRA priorities. Provided in this article are highlights from the conference. Read More