CE Council Releases Q3 Firm Element Highlights
The Securities Industry/Regulatory Council on Continuing Education (Council) recently released [...]
The Securities Industry/Regulatory Council on Continuing Education (Council) recently released [...]
The SEC has released its list of exam priorities for [...]
The Securities and Exchange Commission (SEC) recently announced its Enforcement [...]
In May, the CE Council sent out a 2023 Firm [...]
CE Council Releases Top Firm Element FAQs In a recently [...]
The Securities Industry/Regulatory Council on Continuing Education (Council) recently released [...]
The Securities and Exchange Commission (SEC) has issued a risk [...]
A recent report from the North American Securities Administrators Association [...]
Is FINRA signaling concern over firm members meeting the new [...]
With the introduction of FINRA's annual Regulatory Element CE requirement [...]