$2.9M in Unauthorized Fees Uncovered By The SEC
A Chicago-based investment advisory firm is facing serious allegations from [...]
14
07, 2025
16
05, 2025
SEC Uncovers $91M Ponzi Scheme
In a recent enforcement action, the SEC charged a trio [...]
4
03, 2025
Quest CE Announces New FINRA & SEC Examination Priorities for 2025 Course
MILWAUKEE, WI – Quest CE, trusted provider of compliance training [...]
16
01, 2025
SEC’s $63M Recordkeeping Action: Lessons for CCOs
The Securities and Exchange Commission (SEC) recently announced charges against [...]
13
12, 2024
SEC Financial Remedies Hit Historic High in 2024
The SEC's enforcement statistics for fiscal year 2024 reveal a [...]
18
11, 2024
SEC Examination Priorities for 2025: Key Areas of Focus Revealed
The SEC's Division of Examinations has released its examination priorities [...]
16
09, 2024
SEC Cracks Down on Marketing Rule Violations
The Securities and Exchange Commission (SEC) has launched another enforcement [...]
15
07, 2024
SEC Unveils New Rules for Annuity Disclosures
The Securities and Exchange Commission (SEC) has recently announced significant [...]
24
05, 2024
SEC Slaps Firm with $10 Million Fine for Cyber Incident
In a recent development, the Securities and Exchange Commission (SEC) [...]
13
03, 2024
[Webinar] A Guide to FINRA and the SEC’s 2024 Exam Focus Areas
- Register Below - FINRA and the SEC have released [...]
