Representative Barred from FINRA for Cheating on CE
According to a recent FINRA disciplinary actions notice, a registered [...]
5
08, 2021
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 [...]
16
11, 2020
FINRA Conducts Targeted Exam of Fund Fee Waivers
The Financial Industry Regulatory Authority (FINRA) is conducting targeted exams [...]
16
11, 2020
Your “Cheat Sheet” for 2021 FINRA Renewals
While it may be hard to believe, 2020 is already [...]
19
10, 2020
FINRA Releases Q3 2020 Firm Element Advisory
The Securities Industry/Regulatory Council on Continuing Education (Council) recently published [...]
14
09, 2020
FINRA Cracks Down on Senior Abuse this Summer
Despite the changes brought on by the COVID-19 pandemic, FINRA [...]
