FINRA Talks Generative AI & Large Language Models
The topic of artificial intelligence (AI) and its potential impact [...]
18
03, 2024
12
01, 2024
FINRA Releases 2024 Regulatory Oversight Report
The Financial Industry Regulatory Authority (FINRA) recently released its 2024 [...]
12
01, 2024
FINRA Proposes Stricter Rules on Broker Borrowing and Lending
The Financial Industry Regulatory Authority (FINRA) has proposed a rule [...]
12
01, 2024
Social Media Investment Scams on the Rise
The Financial Industry Regulatory Authority (FINRA) recently issued an investor [...]
15
12, 2023
FINRA Issues Regulation Best Interest Notice
The Financial Industry Regulatory Authority (FINRA) recently published Regulatory Notice [...]
15
12, 2023
CE Under the Microscope: FINRA Shares Exam Findings
FINRA recently shared with the CE Council the most common [...]
15
12, 2023
Quest CE Reveals 14 New IAR CE Courses for 2024
MILWAUKEE – Quest CE, leading provider of innovative compliance technology, [...]
20
11, 2023
CE Council Releases Q3 Firm Element Highlights
The Securities Industry/Regulatory Council on Continuing Education (Council) recently released [...]
20
11, 2023
SEC’s 2024 Exam Priorities: 6 Key Takeaways
The SEC has released its list of exam priorities for [...]
15
11, 2023
SEC Enforces Second-Highest Year for Penalties
The Securities and Exchange Commission (SEC) recently announced its Enforcement [...]
