FINRA Gives Broker-Dealers Earlier Exam Visibility
FINRA is introducing changes that give broker-dealers greater visibility into [...]
14
05, 2026
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 [...]
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 [...]
