DOJ Circles Back on Corporate Compliance Programs
In a speech on September 15, 2022, Deputy Attorney General [...]
19
09, 2022
18
04, 2022
Four Things FINRA Wants You to Know about CCO Liability
For many firms, chief compliance officers (CCOs) are often [...]
11
10, 2021
Coming “Fall” Circle: Tips to Wrap-up your Quest CE Program
--- REGISTER BELOW --- Autumn has officially arrived and along [...]
15
05, 2021
10 Things to Know About NASAA’s New CE Rule
If you were paying attention back in November, you’re well [...]
19
04, 2021
Four Takeaways from our Exam Priorities Webinar
Joined by Foreside Financial Group’s, Myles Blechner and Ginny Voos, [...]
15
03, 2021
Virginia Passes Consumer Data Protection Act
On March 2, 2021, Governor Northam signed the Virginia Consumer [...]
16
11, 2020
Your “Cheat Sheet” for 2021 FINRA Renewals
While it may be hard to believe, 2020 is already [...]
9
11, 2020
Quest CE Expands Questionnaire & Disclosure Offerings
MILWAUKEE – November 9, 2020 – Quest CE, premier provider [...]
19
10, 2020
FINRA Releases Q3 2020 Firm Element Advisory
The Securities Industry/Regulatory Council on Continuing Education (Council) recently published [...]
19
10, 2020
NASAA’s Annual Report Indicates Rise in Enforcement
The North American Securities Administrators Association (NASAA) recently released its [...]
