Recent SEC/FINRA Enforcement Cases & Lessons Learned
Each year, we’re amazed at the amount of talent and [...]
14
11, 2022
14
11, 2022
FINRA Develops First Ever Machine-Readable Rule Book
In a revolutionary move for the industry, FINRA has launched [...]
11
11, 2022
SEC Proposes New Oversight Requirements for RIAs
For registered investment advisers across the country, a new rule [...]
1
11, 2022
[Webinar] A Guide to Implementing NASAA’s New IAR CE Rule
-- Register Below -- The end of the year is [...]
18
10, 2022
Quest CE Releases New Course on Research Analysts
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
7
10, 2022
[Webinar] Mobilizing the SEC’s New Marketing Rule
--- REGISTER BELOW --- The world of marketing is drastically [...]
13
09, 2022
Quest CE Releases Course on Foreign Exchange Derivatives
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
13
09, 2022
[Webinar] Fall Program Reminders & Best Practices
-- Register Below -- It's that time of year once [...]
2
09, 2022
Quest CE to Exhibit at 2022 NSCP National Conference
MILWAUKEE, WI – September 2, 2022– Quest CE, premier provider [...]
9
08, 2022
Quest CE Releases Course on Reg BI Supervisor Obligations
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
