Rhode Island Becomes Latest State to Adopt IAR CE Requirement in 2025
Rhode Island is the latest to adopt NASAA’s IAR CE [...]
23
10, 2024
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 [...]
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 [...]
