FINRA Releases Q3 2020 Firm Element Advisory
The Securities Industry/Regulatory Council on Continuing Education (Council) recently published [...]
19
10, 2020
19
10, 2020
NASAA’s Annual Report Indicates Rise in Enforcement
The North American Securities Administrators Association (NASAA) recently released its [...]
19
10, 2020
Are you Doing This One Thing on your Form CRS?
The Securities and Exchange Commission (SEC) has released updated frequently [...]
11
10, 2020
Why G&E Tracking is More Important Now Than Ever
In today’s age of remote work, it’s easy to think [...]
23
09, 2020
One Hack That Will Improve Your Virtual Conferences
We’ve been connecting with a lot of people in the [...]
16
09, 2020
Quest CE’s Best Selling E-learning Courses in 2020
School is in session! And while many of your kids [...]
14
09, 2020
Three Pro Tips for the MLB’s New Compliance Officers
Following the recent COVID-19 outbreak within the Miami Marlins baseball [...]
14
09, 2020
FINRA Cracks Down on Senior Abuse this Summer
Despite the changes brought on by the COVID-19 pandemic, FINRA [...]
17
08, 2020
SEC Highlights Risks to Firms Due to COVID-19
The SEC’s Office of Compliance and Inspections and Examinations (OCIE), [...]
17
08, 2020
FINRA Warns Firms of Copycat Website
FINRA has issued an alert to its member firms warning [...]
