Reg BI Breach Leads to $260K in Client Losses
FINRA has suspended a registered representative for nine months and [...]
15
09, 2025
12
09, 2025
FINRA Fines & Suspends Rep for Off-Channel Messaging
FINRA has suspended and fined a former registered representative after [...]
12
09, 2025
FINRA Reminds Firms of CE Deadlines and Requirements
With the year-end deadline approaching, FINRA has issued a reminder [...]
11
07, 2025
FINRA’s Remote Oversight Plan Faces Criticism From PIABA
Regulatory inspections have long been a cornerstone of FINRA’s oversight [...]
13
06, 2025
FINRA Proposes Sanction Delays After Court Ruling
Following a 2024 U.S. district court ruling in favor of [...]
9
06, 2025
5 Major Themes from the 2025 FINRA Conference
The 2025 FINRA Annual Conference brought together compliance professionals, regulators, [...]
16
05, 2025
Quest CE Releases New FINRA Courses to its Catalog
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
16
05, 2025
FINRA Forward: Evolving the Regulatory Framework
In an era of rapid technological change and evolving workplace [...]
8
05, 2025
Quest CE to Showcase at FINRA Annual Conference
MILWAUKEE, WI – Quest CE, a leading provider of compliance [...]
11
04, 2025
FINRA’s New RSL Designation: What You Need to Know
As remote and hybrid work arrangements become the norm, FINRA’s [...]
