Firm Pays $275K for TRACE Reporting Failure
A FINRA member firm has agreed to pay a $275,000 [...]
13
06, 2025
13
06, 2025
FINRA Proposes Sanction Delays After Court Ruling
Following a 2024 U.S. district court ruling in favor of [...]
9
06, 2025
5 Major Themes from the 2025 FINRA Conference
The 2025 FINRA Annual Conference brought together compliance professionals, regulators, [...]
5
06, 2025
Quest CE Releases Off-Channel Communication Course
MILWAUKEE, WI – Quest CE, trusted provider of compliance training [...]
30
05, 2025
Quest CE Releases New Remote Supervision Course
MILWAUKEE, WI – Quest CE, trusted provider of compliance training [...]
23
05, 2025
Illinois Becomes First State to Adopt IAR CE for 2026
Illinois is the latest to adopt NASAA’s IAR CE model [...]
16
05, 2025
Quest CE Releases New FINRA Courses to its Catalog
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
16
05, 2025
Breaking Down IAR CE Credits – Ethics & Professional vs. Products & Practice
As more states adopt the IAR CE rule, firms and [...]
16
05, 2025
FINRA Forward: Evolving the Regulatory Framework
In an era of rapid technological change and evolving workplace [...]
16
05, 2025
SEC Uncovers $91M Ponzi Scheme
In a recent enforcement action, the SEC charged a trio [...]
