SEC Examination Priorities for 2026: What Firms Need to Know
The SEC’s Division of Examinations has released its 2026 Examination [...]
11
12, 2025
17
11, 2025
Key Takeaways From This Year’s NSCP Conference
In October, our team attended the National Society of Compliance [...]
17
11, 2025
Compliance Breaches Lead to 22-Month Rep Suspension
A former registered representative has agreed to a 22-month suspension [...]
29
10, 2025
Quest CE Announces Sexual Harassment Prevention Training for CA
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
16
10, 2025
Where National Security Compliance Is Falling Short
As national security enforcement intensifies, a new report from Eversheds [...]
2
10, 2025
Quest CE to Attend NSCP National Conference 2025
MILWAUKEE, WI – Quest CE, a leading provider of compliance [...]
12
09, 2025
FINRA Fines & Suspends Rep for Off-Channel Messaging
FINRA has suspended and fined a former registered representative after [...]
18
08, 2025
Senior Investor Protection Moves to the Forefront
FINRA is stepping up its long-standing efforts to safeguard senior [...]
18
08, 2025
FINRA Fines Firm for Supervisory Failures in Private Placements
FINRA has fined and censured a broker-dealer for failing to [...]
11
08, 2025
FINRA’s Proposed Update to Gift Limits in Rule 3220
FINRA has proposed a long-awaited update to Rule 3220, commonly [...]
