FINRA Fines Increase by 60% in 2021
Eversheds Sutherland recently completed its annual review of the disciplinary [...]
11
03, 2022
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 [...]
11
05, 2021
Quest CE to Exhibit at the FINRA Annual Conference
MILWAUKEE – May 11, 2021 – Quest CE, premier provider [...]
16
04, 2021
FINRA Fines Increase by 43% in 2020
Eversheds Sutherland recently completed its annual review of the disciplinary [...]
15
04, 2021
Quest CE Releases FINRA & SEC Priorities Course
MILWAUKEE – Quest CE, premier provider of compliance training and [...]
15
02, 2021
FINRA Releases 2021 Exam Priorities Letter
Compliance professionals – clear your schedule. The 2021 Report on [...]
