“Hot Topics” For Your 2024 Firm Element Program
As FINRA and the SEC release their 2024 exam priorities, [...]
24
04, 2024
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 [...]
12
05, 2023
SEC Releases Third Reg BI Bulletin, Emphasizes Care Obligations
On April 20, 2023 the Securities and Exchange Commission (SEC) [...]
13
02, 2023
SEC Issues Risk Alert on Reg BI Policy Failures
The SEC recently released a risk alert related to Regulation [...]
11
08, 2022
Eight Takeaways from the SEC’s Recent Reg BI Bulletin
Additional clarifying guidance has been released by the Securities Exchange [...]
11
08, 2022
2022 Mid-Year Recap: Top 10 Firm Element Courses
The end of summer quickly approaching can only mean one [...]
