Your “Cheat Sheet” for 2021 FINRA Renewals
While it may be hard to believe, 2020 is already [...]
16
11, 2020
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 [...]
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 [...]
14
09, 2020
Three Pro Tips for the MLB’s New Compliance Officers
Following the recent COVID-19 outbreak within the Miami Marlins baseball [...]
17
08, 2020
SEC Highlights Risks to Firms Due to COVID-19
The SEC’s Office of Compliance and Inspections and Examinations (OCIE), [...]
15
07, 2020
SEC Releases Alert on Ransomware Attacks
The Securities and Exchange Commission’s (SEC) exam division is warning [...]
15
07, 2020
DOJ Edits Guidance for 2020 Compliance Programs
On June 1, 2020, the United States Department of Justice [...]
2
07, 2020
Quest CE Releases Course on Diversity and Inclusion
MILWAUKEE – Quest CE, premier provider of compliance training and [...]
