– REGISTER BELOW –
Join us on February 10th at 12 PM CST as our panel of compliance experts breaks down FINRA and the SEC’s 2026 Examination Priorities. This essential webinar will equip CCOs of investment advisers and broker-dealers with practical strategies to navigate upcoming regulatory exams successfully.
Quest CE’s Director of Sales & Marketing, Allison Byrne, will moderate a discussion featuring Lori Weston, Head of Compliance at Compliance Advisor, a Division of STP Investment Services, and Stephen Murphy, CFA, Managing Director at Integrated Compliance Consulting. Drawing from their extensive frontline experience, our speakers will share practical insights on preparing for and responding to regulatory scrutiny in 2026.
Topics that will be covered during the webinar include:
Setting the Stage
- Key Themes & Initial Takeaways from the Letters
Overlapping Regulatory Priorities
- Investor Protection
- Books and Records
- Third Party Vendor Due Diligence
Critical FINRA Focus Areas
- Capital Formation
- Regulatory Tone
- AML & Senior Investors
SEC Examination Hotspots
- Regulation S-P & Data Protection
- Marketing Rule
- Small & Growing Firms
Open Q&A
The seat limit for this session is 500 participants and is anticipated to run for an estimated 45-60 minutes. If you or an associate is unable to attend the webinar but would still like a demonstration/copy of the presentation, please contact us here.
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About Quest CE
For over thirty-five years, Quest CE has been a trusted provider of compliance training and tracking solutions to the financial services industry. In partnering with more than 2,400 leading insurance carriers, broker-dealers, registered investment advisors, and other financial institutions, Quest CE offers a full suite of proprietary technology solutions while delivering an unmatched level of customer service.
Through the delivery of advanced custom solutions, Quest CE honors its mission to empower financial institutions with easy-to-use technology that simplifies their compliance and continuing education programs. For more information on Quest CE, visit www.questce.com.
