Quest CE to Attend NSCP National Conference 2026
MILWAUKEE, WI – Quest CE, a leading provider of compliance [...]
29
09, 2026
11
09, 2026
FINRA Disciplinary Actions: Largest Fines from August
Each month, FINRA publishes disciplinary actions involving firms and registered [...]
13
08, 2026
AI Policies Are in Place. Is Oversight Keeping Up?
Artificial intelligence has quickly moved from an emerging concern to [...]
3
08, 2026
Quest CE Expands Customer Support with New Self-Service Knowledge Base
MILWAUKEE, WI, August 3, 2026 – Quest CE, a leading [...]
11
06, 2026
5 Compliance Takeaways: FINRA’s 2026 Industry Snapshot
Each year, FINRA's Industry Snapshot provides a data-driven look at [...]
14
05, 2026
FINRA Gives Broker-Dealers Earlier Exam Visibility
FINRA is introducing changes that give broker-dealers greater visibility into [...]
14
05, 2026
Small Firms, Your Reg S-P Deadline Is Almost Here
For smaller firms subject to the SEC’s amended Regulation S-P [...]
14
05, 2026
$7M ETF Complaint Highlights Suitability Risks
A recent investor complaint against a registered representative highlights the ongoing risks [...]
13
04, 2026
FINRA Enforcement Trends Shift in 2025 Sanctions Study
Eversheds Sutherland has released its annual 2025 FINRA Sanctions Study [...]
27
03, 2026
Quest CE Celebrates 12th “Best & Brightest” Milwaukee Recognition
MILWAUKEE, WI- March 27th, 2026- Quest CE, a leading compliance [...]
