SEC Says Yes to “Restricted Firm” ID on BrokerCheck
The SEC recently approved a rule proposal that would allow [...]
13
02, 2023
13
01, 2023
Eight Takeaways from FINRA’s 2023 Exam Priorities
On January 10, 2023, the Financial Industry Regulatory Authority, Inc. [...]
16
12, 2022
FINRA & SEC Take on Social Media Misuse
FINRA Fines/Suspends Rep for Facebook Posts FINRA recently took action [...]
19
09, 2022
Will You be Joining FINRA’s New Pilot Program?
If your firm is anything like us, you understand how [...]
11
08, 2022
FINRA Moves in on Digital Signature Fraud
Digital signature tools have become a go-to resource for many [...]
18
07, 2022
Reg BI Cracks FINRA’s Top 15 Claims Against Brokers
The first half of the year has officially come to [...]
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 [...]
