FINRA Enforcement Trends Shift in 2025 Sanctions Study
Eversheds Sutherland has released its annual 2025 FINRA Sanctions Study [...]
13
04, 2026
27
03, 2026
Quest CE Celebrates 12th “Best & Brightest” Milwaukee Recognition
MILWAUKEE, WI- March 27th, 2026- Quest CE, a leading compliance [...]
18
03, 2026
Indiana Becomes First State to Adopt IAR CE for 2027
Indiana is the latest to adopt NASAA's IAR CE model [...]
13
02, 2026
FINRA Proposes Allowing Performance Projections Under Rule 2210
FINRA has proposed amendments to Rule 2210 that would allow [...]
12
02, 2026
Quest CE to Exhibit at 2026 IAA Compliance Conference
MILWAUKEE, WI – Quest CE, a leading provider of compliance [...]
15
01, 2026
SEC Proposal May Redefine RIA “Small Entity” Status
The SEC has proposed amendments to how it defines “small [...]
15
12, 2025
Inside FINRA’s 2026 Oversight Report
FINRA has released its 2026 Annual Regulatory Oversight Report earlier [...]
11
12, 2025
SEC Examination Priorities for 2026: What Firms Need to Know
The SEC’s Division of Examinations has released its 2026 Examination [...]
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 [...]
