Webinar Recap: 2026 FINRA and SEC Exam Priorities
In our recent webinar, 2026 FINRA & SEC Exam Priorities: [...]
26
02, 2026
25
02, 2026
Quest CE’s Top Firm Element Courses From 2025
The compliance landscape evolved significantly throughout 2025, with new regulatory [...]
12
02, 2026
SEC Alleges $9.8M Theft From Elderly Client
The SEC has charged a licensed investment adviser with allegedly [...]
26
01, 2026
[Webinar] 2026 FINRA & SEC Exam Priorities for Compliance
- REGISTER BELOW - Join us on February 10th at 12 [...]
15
01, 2026
Inaccurate Disclosures Lead to $4.6M Restitution Order for Firm
A recent FINRA settlement highlights the importance of accurate customer [...]
14
01, 2026
Data Privacy Week: Making Data Protection Everyone’s Responsibility
Data Privacy Week reminds us that protecting sensitive information isn't [...]
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 [...]
