Reg BI Cracks FINRA’s Top 15 Claims Against Brokers
The first half of the year has officially come to [...]
18
07, 2022
20
06, 2022
Four Reg BI Takeaways from the 2022 FINRA Conference
It’s hard to believe that two years ago the SEC’s [...]
27
04, 2022
Quest CE to Exhibit at the 2022 FINRA Annual Conference
MILWAUKEE – April 27, 2022 – Quest CE, trusted provider [...]
20
04, 2022
[Webinar] Emerging Trends from the 2022 FINRA & SEC Priorities Letters
--- REGISTRATION CLOSED: FULL CAPACITY --- If you're like us, [...]
11
03, 2022
FINRA Fines Increase by 60% in 2021
Eversheds Sutherland recently completed its annual review of the disciplinary [...]
14
02, 2022
Eight Takeaways from FINRA’s 2022 Examination Priorities Letter
Eight Takeaways from FINRA’s 2022 Exam Priorities Letter It’s planning [...]
20
09, 2021
FINRA Conducts Sweep of Social Media “Finfluencers”
The Financial Industry Regulatory Authority (FINRA) is conducting an exam [...]
18
08, 2021
FINRA Conducts Sweep Exam on Options Accounts
The Financial Industry Regulatory Authority (FINRA) announced recently that it [...]
5
08, 2021
Representative Barred from FINRA for Cheating on CE
According to a recent FINRA disciplinary actions notice, a registered [...]
10
06, 2021
FINRA Takes on Short Interest Reporting
On June 4, 2021, FINRA published Regulatory Notice 21-19, which [...]
