FINRA’s Take on Crypto in Brokerage Firms
In a revealing guidance note released recently, the U.S. Financial [...]
15
08, 2024
15
08, 2024
Advisers Pay-to-Play and Harris-Walz Campaign
As the 2024 U.S. Presidential election approaches, investment advisers need [...]
22
07, 2024
Quest CE Releases New Course on Supervisory Controls
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
18
07, 2024
Quest CE Releases Remote Security Course
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
15
07, 2024
Wall Street’s Watchdog: Has FINRA Lost Its Bite?
The Quiet Decline in Enforcement Just after Christmas, FINRA quietly [...]
15
07, 2024
SEC Unveils New Rules for Annuity Disclosures
The Securities and Exchange Commission (SEC) has recently announced significant [...]
15
07, 2024
FINRA Fines and Suspends CFP for Sharing Exam Content
The Financial Industry Regulatory Authority (FINRA) has taken disciplinary action [...]
11
07, 2024
Quest CE Releases New Course on Fractional Shares
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
24
06, 2024
6 Essential IAR CE Tips from NASAA
Attention, investment adviser representatives (IARs)! Is your jurisdiction one of [...]
14
06, 2024
U.S. Court Strikes Down SEC Rule on Private Fund Transparency
In a significant ruling that has sent shockwaves through the [...]
