FINRA Releases New Problem Codes & AI White Paper
FINRA Releases New Customer Complaint Problem Codes FINRA is adding [...]
15
06, 2020
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 [...]
17
01, 2020
FINRA & SEC Exam Priority-Inspired Course Options
With the recent publication of the SEC and FINRA examination [...]
13
01, 2020
FINRA Releases 2020 Examination Priorities Letter
FINRA recently announced its examination priorities for 2020, highlighting new [...]
17
06, 2019
Quest CE Releases Senior Safe Act Training Course
MILWAUKEE – Quest CE, premier provider of compliance training and [...]
