FINRA 2026 Recap: AI, Modernization, and the Future of Supervision
At FINRA’s 2026 Annual Conference, one message came through clearly: the industry [...]
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06, 2026
27
05, 2026
[Webinar] Reg S-P Is Here: What Firms Need to Know
- REGISTER BELOW - Milwaukee, WI – June 2026 – Quest CE, [...]
14
05, 2026
FINRA Gives Broker-Dealers Earlier Exam Visibility
FINRA is introducing changes that give broker-dealers greater visibility into [...]
20
04, 2026
Quest CE Heads to FINRA 2026 to Tackle Today’s Compliance Challenges
MILWAUKEE, WI – April 20th, 2026 – Quest CE, a [...]
13
04, 2026
FINRA Launches Cyber & Fraud Intelligence Portal
FINRA announced the launch of its Financial Intelligence Fusion Center [...]
13
04, 2026
FINRA Enforcement Trends Shift in 2025 Sanctions Study
Eversheds Sutherland has released its annual 2025 FINRA Sanctions Study [...]
13
03, 2026
FINRA’s Q1 2026 Regulatory Agenda
FINRA recently released its February 2026 Quarterly Regulatory Policy Agenda [...]
13
03, 2026
$80M AML Penalty Sends Warning to Broker-Dealer Industry
The largest anti-money laundering penalty ever imposed on a broker-dealer [...]
13
03, 2026
FINRA Officially Raises Gift Limit to $300
FINRA announced on February 27, 2026, amendments to FINRA Rule [...]
13
03, 2026
Is FINRA’s Independent Role Under Threat?
A congressional hearing last week put one of the securities [...]
