SEC Examination Priorities for 2025: Key Areas of Focus Revealed
The SEC's Division of Examinations has released its examination priorities [...]
18
11, 2024
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? [...]
13
09, 2024
[Webinar] Decoding FINRA Rule 3110: Key Insights for Branch Inspections
-Register Below- Quest CE is set to host an upcoming [...]
10
09, 2024
Navigating IAR CE: Key Requirements and FAQs
The IAR CE requirement has quickly taken the investment advisory [...]
27
08, 2024
How to Verify Your IAR CE Credits Were Reported
As December 31st looms, the IAR CE deadline draws near. [...]
25
07, 2024
FINRA Issues CE Notice: What CCOs Need to Know
As we progress through 2024, it's crucial for all registered [...]
24
06, 2024
6 Essential IAR CE Tips from NASAA
Attention, investment adviser representatives (IARs)! Is your jurisdiction one of [...]
24
06, 2024
2024 Mid-Year Recap: Top 10 Firm Element Courses
Blink and you might miss it – we're already halfway [...]
14
06, 2024
Financial Firm Fined $250k for Inadequate Supervision of Social Media Influencers
The Financial Industry Regulatory Authority (FINRA) has recently censured a [...]
