The $11M Cost of Failed Supervision
A recent FINRA arbitration case resulting in over $11 million [...]
A recent FINRA arbitration case resulting in over $11 million [...]
FINRA's latest Regulatory Oversight Report signals significant shifts in regulatory [...]
MILWAUKEE, WI – Quest CE, a leading provider of compliance [...]
MILWAUKEE, WI – Quest CE, trusted provider of compliance training [...]
Milwaukee, WI- January 24, 2025- Quest CE, a leading compliance [...]
The SEC's Division of Examinations has released its examination priorities [...]
The North American Securities Administrators Association (NASAA) has released important [...]
Are you juggling both CFP® and IAR CE this year? [...]
-Register Below- Quest CE is set to host an upcoming [...]
The IAR CE requirement has quickly taken the investment advisory [...]