FINRA Fines Firm $60K for Reg BI and Supervisory Failures
FINRA recently fined a broker-dealer $60,000 and issued a censure [...]
12
02, 2026
15
09, 2025
Reg BI Breach Leads to $260K in Client Losses
FINRA has suspended a registered representative for nine months and [...]
4
02, 2025
Quest CE Announces New Reg BI and Form CRS Course
MILWAUKEE, WI – Quest CE, trusted provider of compliance training [...]
11
10, 2024
$6 Million Churning Scheme Leads to Reg BI Suspensions
In a recent development that underscores the importance of ethical [...]
24
04, 2024
“Hot Topics” For Your 2024 Firm Element Program
As FINRA and the SEC release their 2024 exam priorities, [...]
11
04, 2024
FINRA Intensifies Enforcement of Reg BI
In a recent settlement with the Financial Industry Regulatory Authority [...]
18
03, 2024
FINRA Fines Up 63% in 2023
Corporate law firm Eversheds Sutherland has recently completed its annual [...]
12
02, 2024
Three Enforcement Trends Under FINRA’s New Top Cop
FINRA recently named Bill St. Louis as its new Executive [...]
9
11, 2023
Quest CE Releases New Reg BI Course
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
9
08, 2023
SEC Proposes Rule to Address Growing Use of AI
The Securities and Exchange Commission (SEC) proposed new rules and [...]
