Six Takeaways from the SEC’s 2023 Exam Priorities
On February 7th, the SEC released its list of exam [...]
13
02, 2023
13
01, 2023
SEC Issues New Guidance on Marketing Rule
Nearly two months after the effective compliance date of the [...]
16
12, 2022
FINRA & SEC Take on Social Media Misuse
FINRA Fines/Suspends Rep for Facebook Posts FINRA recently took action [...]
7
10, 2022
[Webinar] Mobilizing the SEC’s New Marketing Rule
--- REGISTER BELOW --- The world of marketing is drastically [...]
20
06, 2022
SEC Charges Firm/Reps with Multiple Reg BI Infractions
The Securities and Exchange Commission (SEC) recently charged a California-based [...]
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 [...]
