Quest CE Releases 2025 IAR CE Catalog
MILWAUKEE – Quest CE, leading provider of innovative compliance technology, [...]
9
01, 2025
16
12, 2024
Major Continuing Education Fraud Exposed by FINRA
Widespread Cheating Scheme Uncovered FINRA has unveiled an extensive cheating [...]
13
12, 2024
SEC Financial Remedies Hit Historic High in 2024
The SEC's enforcement statistics for fiscal year 2024 reveal a [...]
18
11, 2024
Conference Insights: Our Key Takeaways from NSCP
In October, our team had the opportunity to attend the [...]
11
10, 2024
$6 Million Churning Scheme Leads to Reg BI Suspensions
In a recent development that underscores the importance of ethical [...]
16
09, 2024
SEC Cracks Down on Marketing Rule Violations
The Securities and Exchange Commission (SEC) has launched another enforcement [...]
16
09, 2024
Warren Challenges FINRA on Enforcement Decline
Senator Elizabeth Warren has once again set her sights on [...]
15
08, 2024
FINRA’s Take on Crypto in Brokerage Firms
In a revealing guidance note released recently, the U.S. Financial [...]
15
08, 2024
Advisers Pay-to-Play and Harris-Walz Campaign
As the 2024 U.S. Presidential election approaches, investment advisers need [...]
15
07, 2024
Wall Street’s Watchdog: Has FINRA Lost Its Bite?
The Quiet Decline in Enforcement Just after Christmas, FINRA quietly [...]
