Quest CE to Exhibit at NSCP National Conference 2024
MILWAUKEE, WI – October 8, 2024– Quest CE, premier provider [...]
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10, 2024
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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 [...]
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07, 2024
Quest CE Releases New Course on Supervisory Controls
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
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07, 2024
Quest CE Releases Remote Security Course
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
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07, 2024
Wall Street’s Watchdog: Has FINRA Lost Its Bite?
The Quiet Decline in Enforcement Just after Christmas, FINRA quietly [...]
15
07, 2024
SEC Unveils New Rules for Annuity Disclosures
The Securities and Exchange Commission (SEC) has recently announced significant [...]
15
07, 2024
FINRA Fines and Suspends CFP for Sharing Exam Content
The Financial Industry Regulatory Authority (FINRA) has taken disciplinary action [...]
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07, 2024
Quest CE Releases New Course on Fractional Shares
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
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06, 2024
6 Essential IAR CE Tips from NASAA
Attention, investment adviser representatives (IARs)! Is your jurisdiction one of [...]
