$2.9M in Unauthorized Fees Uncovered By The SEC
A Chicago-based investment advisory firm is facing serious allegations from [...]
14
07, 2025
11
07, 2025
FINRA’s Remote Oversight Plan Faces Criticism From PIABA
Regulatory inspections have long been a cornerstone of FINRA’s oversight [...]
9
06, 2025
5 Major Themes from the 2025 FINRA Conference
The 2025 FINRA Annual Conference brought together compliance professionals, regulators, [...]
11
04, 2025
FINRA’s New RSL Designation: What You Need to Know
As remote and hybrid work arrangements become the norm, FINRA’s [...]
11
04, 2025
FINRA Announces Initiatives to Reduce Regulatory Burdens
In a recent address at a Securities Industry and Financial [...]
11
04, 2025
NASAA Moves to Prohibit Use of “Advisor” Title
The North American Securities Administrators Association (NASAA) recently voted to [...]
28
03, 2025
Key Takeaways from the 2025 IAA Compliance Conference
This March, our Quest CE team had the opportunity to [...]
17
03, 2025
FINRA Enforcement Patterns Emerge in 2024 Sanctions Study
Eversheds Sutherland has released its annual analysis of FINRA disciplinary [...]
4
03, 2025
Quest CE Introduces Split Billing Feature for Seminar Management
Quest CE, a leading provider of compliance training and tracking [...]
4
03, 2025
Quest CE Announces New FINRA & SEC Examination Priorities for 2025 Course
MILWAUKEE, WI – Quest CE, trusted provider of compliance training [...]
