SEC Enforcement in 2024: Analyzing the Year-End Statistics
The SEC's enforcement statistics for fiscal year 2024 reveal a [...]
13
12, 2024
3
12, 2024
Minnesota Mandates IAR Continuing Education Starting 2025
Minnesota is the latest to adopt NASAA's IAR CE model [...]
18
11, 2024
SEC Examination Priorities for 2025: Key Areas of Focus Revealed
The SEC's Division of Examinations has released its examination priorities [...]
12
11, 2024
NASAA’s Memo on End of Year IAR CE Processing
The North American Securities Administrators Association (NASAA) has released important [...]
23
10, 2024
Rhode Island Becomes Latest State to Adopt IAR CE Requirement in 2025
Rhode Island is the latest to adopt NASAA’s IAR CE [...]
11
10, 2024
$6 Million Churning Scheme Leads to Reg BI Suspensions
In a recent development that underscores the importance of ethical [...]
9
10, 2024
Nebraska Set to Join List of States Implementing IAR CE in 2025
Nebraska has announced its adoption of NASSA’s Investment Adviser Representative [...]
9
10, 2024
New Jersey Joins List of States Adopting IAR CE in 2025
New Jersey is one of the latest states to adopt [...]
8
10, 2024
Quest CE to Exhibit at NSCP National Conference 2024
MILWAUKEE, WI – October 8, 2024– Quest CE, premier provider [...]
15
08, 2024
FINRA’s Take on Crypto in Brokerage Firms
In a revealing guidance note released recently, the U.S. Financial [...]
