SEC Releases Third Reg BI Bulletin, Emphasizes Care Obligations
On April 20, 2023 the Securities and Exchange Commission (SEC) [...]
On April 20, 2023 the Securities and Exchange Commission (SEC) [...]
The FINRA 2023 Industry Snapshot was recently released and gives [...]
The SEC’s Division of Examinations staff recently issued a risk [...]
According to a filing last week, FINRA has submitted an [...]
Colorado is the latest state to adopt NASAA's IAR CE [...]
The Securities Industry/Regulatory Council on Continuing Education (Council) recently released [...]
In its recently released annual study, Eversheds Sutherland found that [...]
In a recently released statement, the SEC is proposing a [...]
Quest CE joined 500+ other industry peers at the IAA [...]
On February 7th, the SEC released its list of exam [...]