Understanding the SEC’s Marketing Rule
The SEC’s modernized Marketing Rule has reshaped how investment advisers [...]
15
01, 2026
11
12, 2025
SEC Examination Priorities for 2026: What Firms Need to Know
The SEC’s Division of Examinations has released its 2026 Examination [...]
17
11, 2025
$500M Fraud Crackdown Shows Need for Risk Oversight
A recent federal indictment and SEC complaint alleges a sprawling, [...]
15
09, 2025
FINRA’s Disciplinary Trends: Where Firms Are Falling Short
Each month, FINRA’s disciplinary actions highlight the areas where firms [...]
14
07, 2025
$2.9M in Unauthorized Fees Uncovered By The SEC
A Chicago-based investment advisory firm is facing serious allegations from [...]
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 [...]
