Inaccurate Disclosures Lead to $4.6M Restitution Order for Firm
A recent FINRA settlement highlights the importance of accurate customer [...]
15
01, 2026
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 [...]
10
12, 2025
Quest CE Named a 2026 RegTech100 Winner!
MILWAUKEE, WI – Quest CE, a trusted provider of compliance [...]
19
11, 2025
What to Look for in a Compliance Partner: Questions We Hear Most
Choosing the right compliance technology partner isn’t just about checking [...]
17
11, 2025
Key Takeaways From This Year’s NSCP Conference
In October, our team attended the National Society of Compliance [...]
29
10, 2025
Quest CE Announces Sexual Harassment Prevention Training for CA
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
