Five Actions Compliance Teams Can Take to Strengthen Cybersecurity
October marks Cybersecurity Awareness Month, a timely reminder that protecting [...]
16
10, 2025
16
10, 2025
Where National Security Compliance Is Falling Short
As national security enforcement intensifies, a new report from Eversheds [...]
22
08, 2025
Quest CE Releases Consolidated Audit Trail (CAT) Essentials Course
MILWAUKEE, WI – Quest CE, trusted provider of compliance training [...]
31
07, 2025
Webinar Recap: Building FINRA-Ready Firm Element CE Programs
To help compliance teams strengthen their Firm Element CE programs [...]
30
07, 2025
Quest CE Releases Two New MSRB Insights Courses
MILWAUKEE, WI – Quest CE, trusted provider of compliance training [...]
24
07, 2025
[Webinar] Demystifying On and Off-Channel Communications
- REGISTER BELOW - Milwaukee, WI – July 2025 – [...]
21
07, 2025
2025 Mid-Year Recap: Top 10 Firm Element Courses
With the first half of 2025 behind us, firms are [...]
9
07, 2025
[Webinar] Developing FINRA-Ready Firm Element CE Programs
- REGISTER BELOW - Developing FINRA-Ready Firm Element CE Programs [...]
13
06, 2025
Firm Pays $275K for TRACE Reporting Failure
A FINRA member firm has agreed to pay a $275,000 [...]
13
06, 2025
FINRA Proposes Sanction Delays After Court Ruling
Following a 2024 U.S. district court ruling in favor of [...]
