SEC Releases Third Reg BI Bulletin, Emphasizes Care Obligations
On April 20, 2023 the Securities and Exchange Commission (SEC) [...]
12
05, 2023
12
05, 2023
Market Downturn Causes Broker-Dealer Financial Decrease
The FINRA 2023 Industry Snapshot was recently released and gives [...]
12
05, 2023
SEC Issues Risk Alert on Safeguarding Customer Records
The SEC’s Division of Examinations staff recently issued a risk [...]
17
04, 2023
FINRA Revives Inspection Pilot Program Proposal
According to a filing last week, FINRA has submitted an [...]
14
04, 2023
Colorado Latest State to Adopt IAR CE Requirement
Colorado is the latest state to adopt NASAA's IAR CE [...]
14
04, 2023
CE Council Releases Q1 Firm Element Highlights
The Securities Industry/Regulatory Council on Continuing Education (Council) recently released [...]
20
03, 2023
FINRA Reports 56% Decrease in 2022 Disciplinary Actions
In its recently released annual study, Eversheds Sutherland found that [...]
20
03, 2023
SEC Issues New Cybersecurity Requirement Proposal
In a recently released statement, the SEC is proposing a [...]
17
03, 2023
Three Takeaways from the 2023 IAA Compliance Conference
Quest CE joined 500+ other industry peers at the IAA [...]
13
02, 2023
Six Takeaways from the SEC’s 2023 Exam Priorities
On February 7th, the SEC released its list of exam [...]
