FINRA Warns Firms of Copycat Website
FINRA has issued an alert to its member firms warning [...]
17
08, 2020
17
08, 2020
FINRA-Registered Firms, Reps Continue to Decline
The total number of broker-dealers registered with FINRA continues to [...]
15
07, 2020
FINRA Tackles What’s Next for Reg BI in New Podcast
Reg BI examinations have already started to take place. But [...]
15
06, 2020
FINRA Releases New Problem Codes & AI White Paper
FINRA Releases New Customer Complaint Problem Codes FINRA is adding [...]
15
06, 2020
FINRA Addresses Exam Cheating at Board Meeting
Last week, the FINRA Board of Governors met virtually for [...]
28
04, 2020
Quest CE Releases FINRA Advertising Rules Course
MILWAUKEE – Quest CE, premier provider of compliance training and [...]
16
03, 2020
FINRA Urges Firms to Review Pandemic-Related BCP
Coronavirus seems to be impacting everything, which is why FINRA [...]
16
03, 2020
What you Need to Know about FINRA’s CE Proposal
In February, FINRA issued a regulatory notice seeking comment on [...]
24
02, 2020
FINRA & SEC 2020 Exam Priorities Course Released
MILWAUKEE – Quest CE, premier provider of compliance training and [...]
23
01, 2020
Quest CE Releases Course on Retail Suitability
MILWAUKEE – Quest CE, premier provider of compliance training and [...]
