FINRA Revives Inspection Pilot Program Proposal
According to a filing last week, FINRA has submitted an [...]
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 [...]
The SEC recently approved a rule proposal that would allow [...]
The SEC recently released a risk alert related to Regulation [...]
On January 10, 2023, the Financial Industry Regulatory Authority, Inc. [...]