SEC Charges Firm/Reps with Multiple Reg BI Infractions
The Securities and Exchange Commission (SEC) recently charged a California-based [...]
20
06, 2022
20
04, 2022
[Webinar] Emerging Trends from the 2022 FINRA & SEC Priorities Letters
--- REGISTRATION CLOSED: FULL CAPACITY --- If you're like us, [...]
18
04, 2022
The SEC’s Top Five Exam Priorities for 2022
On March 30, 2022, the Securities and Exchange Commission’s (“SEC”) [...]
20
09, 2021
FINRA Conducts Sweep of Social Media “Finfluencers”
The Financial Industry Regulatory Authority (FINRA) is conducting an exam [...]
18
08, 2021
SEC Approves Rule to Target High-Risk Firms
The Securities and Exchange Commission (SEC) recently approved a Financial [...]
21
05, 2021
Quest CE Releases Course on the SEC Marketing Rule
MILWAUKEE – Quest CE, premier provider of compliance training and [...]
19
04, 2021
SEC Releases Risk Alert on ESG Investing
On April 9, 2021, the SEC’s Division of Examinations (“EXAMS”) [...]
15
04, 2021
Quest CE Releases FINRA & SEC Priorities Course
MILWAUKEE – Quest CE, premier provider of compliance training and [...]
11
03, 2021
SEC Releases Top Eight Exam Priorities for 2021
On March 3, 2021, the Securities and Exchange Commission’s Division [...]
18
01, 2021
SEC Greenlights Modern Marketing Rule for IAs
After a nearly year-long comment period, the SEC announced last [...]
