FINRA’s New RSL Designation: What You Need to Know
As remote and hybrid work arrangements become the norm, FINRA’s [...]
11
04, 2025
11
04, 2025
FINRA Announces Initiatives to Reduce Regulatory Burdens
In a recent address at a Securities Industry and Financial [...]
17
03, 2025
FINRA Enforcement Patterns Emerge in 2024 Sanctions Study
Eversheds Sutherland has released its annual analysis of FINRA disciplinary [...]
4
03, 2025
Quest CE Announces New FINRA & SEC Examination Priorities for 2025 Course
MILWAUKEE, WI – Quest CE, trusted provider of compliance training [...]
14
02, 2025
Navigating FINRA’s 2025 Exam Priorities
FINRA's latest Regulatory Oversight Report signals significant shifts in regulatory [...]
16
12, 2024
Major Continuing Education Fraud Exposed by FINRA
Widespread Cheating Scheme Uncovered FINRA has unveiled an extensive cheating [...]
16
09, 2024
Warren Challenges FINRA on Enforcement Decline
Senator Elizabeth Warren has once again set her sights on [...]
13
09, 2024
[Webinar] Decoding FINRA Rule 3110: Key Insights for Branch Inspections
-Register Below- Quest CE is set to host an upcoming [...]
15
08, 2024
FINRA’s Take on Crypto in Brokerage Firms
In a revealing guidance note released recently, the U.S. Financial [...]
15
07, 2024
Wall Street’s Watchdog: Has FINRA Lost Its Bite?
The Quiet Decline in Enforcement Just after Christmas, FINRA quietly [...]
