$2.9M in Unauthorized Fees Uncovered By The SEC
A Chicago-based investment advisory firm is facing serious allegations from [...]
A Chicago-based investment advisory firm is facing serious allegations from [...]
Regulatory inspections have long been a cornerstone of FINRA’s oversight [...]
The 2025 FINRA Annual Conference brought together compliance professionals, regulators, [...]
As remote and hybrid work arrangements become the norm, FINRA’s [...]
In a recent address at a Securities Industry and Financial [...]
The North American Securities Administrators Association (NASAA) recently voted to [...]
This March, our Quest CE team had the opportunity to [...]
Eversheds Sutherland has released its annual analysis of FINRA disciplinary [...]
Quest CE, a leading provider of compliance training and tracking [...]
MILWAUKEE, WI – Quest CE, trusted provider of compliance training [...]