SEC Slaps Firm with $10 Million Fine for Cyber Incident
In a recent development, the Securities and Exchange Commission (SEC) [...]
24
05, 2024
16
05, 2024
SEC and FinCEN Propose Customer Identification Rules for Investment Advisors
The U.S. Securities and Exchange Commission (SEC) and the Financial [...]
22
01, 2024
7 E-Learning Courses for Data Privacy Week
This week, January 21-27, is Data Privacy Week, an initiative [...]
9
10, 2023
Top 8 Courses for Cybersecurity Awareness Month
In our increasingly digital world, the importance of cybersecurity cannot [...]
17
03, 2023
Three Takeaways from the 2023 IAA Compliance Conference
Quest CE joined 500+ other industry peers at the IAA [...]
19
12, 2022
Ransomware Surge: Is Your Firm Prepared?
In a notice released to the financial industry, FINRA warns [...]
14
10, 2022
8 Reasons Why Cybersecurity Should Be Your #1 Priority
For the month of October, cybersecurity is at the forefront [...]
11
08, 2022
2022 Mid-Year Recap: Top 10 Firm Element Courses
The end of summer quickly approaching can only mean one [...]
18
04, 2022
The SEC’s Top Five Exam Priorities for 2022
On March 30, 2022, the Securities and Exchange Commission’s (“SEC”) [...]
10
03, 2022
SEC Proposes Changes to Address Rising Cybersecurity Concerns
Since 2011, the SEC has offered guidance concerning registrants’ existing [...]
