It’s the news we all curiously wait for each year: FINRA and the SEC’s annual examination priorities. While regulators are definitely focusing a majority of their attention on reoccurring issues, some interesting areas of uncharted risks were also identified. Read More

In this webinar, Quest CE's senior sales Executive, Jennifer Greene, will outline the SEC and FINRA’s recently released examination letters, discuss what the future of these two organizations looks like under new leadership, and provide strategies for preparing for an onsite investigation. Read More

The SEC announced its Office of Compliance Inspections and Examinations’ (OCIE) 2017 priorities last Thursday. New areas of focus include electronic investment advice, money market funds, FINRA and financial exploitation of senior investors. Read More