Webinar Recap: A Roadmap to IAR CE Compliance
Understanding and implementing IAR CE requirements continues to be a [...]
14
02, 2025
14
02, 2025
Navigating FINRA’s 2025 Exam Priorities
FINRA's latest Regulatory Oversight Report signals significant shifts in regulatory [...]
16
01, 2025
SEC’s $63M Recordkeeping Action: Lessons for CCOs
The Securities and Exchange Commission (SEC) recently announced charges against [...]
14
01, 2025
Cracked in Seconds: 2024’s Most Dangerous Passwords
As we bid farewell to 2024, it's time for our [...]
11
10, 2024
$6 Million Churning Scheme Leads to Reg BI Suspensions
In a recent development that underscores the importance of ethical [...]
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 [...]
