What FINRA’s Enforcement Review Could Mean for Member Firms
As part of its FINRA Forward initiative, FINRA recently released [...]
14
07, 2026
11
06, 2026
5 Compliance Takeaways: FINRA’s 2026 Industry Snapshot
Each year, FINRA's Industry Snapshot provides a data-driven look at [...]
1
06, 2026
FINRA 2026 Recap: AI, Modernization, and the Future of Supervision
At FINRA’s 2026 Annual Conference, one message came through clearly: the industry [...]
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 [...]
