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
Earlier this month, FINRA published its Annual Regulatory and Examinations Letter. The letter provides helpful insight into current priorities and trending business or regulatory issues that FINRA has developed based on observations from their regulatory programs, as well as input from various stakeholders, including investor advocates, member firms and other regulators. Read More
In this 45-minute webinar, we’ll spotlight both FINRA and the SEC’s top examination priorities for the year, highlight overlapping principles, provide strategies for building a culture of compliance and showcase upcoming trends. Please join the discussion Wednesday, March 16th at 10am or 2pm.
The course, “Microcap Securities Fraud” was developed to address the ongoing concern of microcap securities fraud. Microcap securities are already subject to volatility and risk. Read More
The course, “MSRB Rule G-3” begins with an overview of the two new classifications created when the MSRB revised Rule G-3 to meet the requirements of the Dodd-Frank Wall Street Reform and Consumer Protection Act. From there, the course covers basic knowledge of the internal workings, qualifications, and required continuing education of the municipal advisory system. Read More