$6 Million Churning Scheme Leads to Reg BI Suspensions
In a recent development that underscores the importance of ethical [...]
11
10, 2024
16
09, 2024
SEC Cracks Down on Marketing Rule Violations
The Securities and Exchange Commission (SEC) has launched another enforcement [...]
16
09, 2024
Warren Challenges FINRA on Enforcement Decline
Senator Elizabeth Warren has once again set her sights on [...]
13
09, 2024
[Webinar] Decoding FINRA Rule 3110: Key Insights for Branch Inspections
-Register Below- Quest CE is set to host an upcoming [...]
11
04, 2024
FINRA Intensifies Enforcement of Reg BI
In a recent settlement with the Financial Industry Regulatory Authority [...]
11
04, 2024
SEC & FINRA Cracking Down on Texting Violations
SEC and FINRA Impose Heavy Fines for Texting The Securities [...]
10
04, 2024
Compliance Expedition: Gear Up for Success with Quest CE’s Client Best Practice Webinar!
-Register Below- Pack your gear and join Quest CE's annual [...]
13
03, 2024
[Webinar] A Guide to FINRA and the SEC’s 2024 Exam Focus Areas
- Register Below - FINRA and the SEC have released [...]
10
10, 2023
That’s a Wrap! Steps to Close out Your Quest CE Program
-- REGISTER BELOW -- Pumpkin spice and apple cider are [...]
17
07, 2023
Five Things Every IA Firm CCO Needs to Know
Have you ever wondered what areas of compliance the SEC [...]
