SEC Charges Adviser in $138M Private Fund Fraud Case
A recent SEC enforcement action highlights how failures in disclosure, [...]
13
04, 2026
7
04, 2026
The IAA Sessions Worth Your Attention, and What to Do Next
At this year’s Investment Adviser Association (IAA) Annual Conference, regulators, [...]
26
02, 2026
Webinar Recap: 2026 FINRA and SEC Exam Priorities
In our recent webinar, 2026 FINRA & SEC Exam Priorities: [...]
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 [...]
