Quest CE Releases FINRA & SEC Priorities Course
MILWAUKEE – Quest CE, premier provider of compliance training and [...]
15
04, 2021
11
03, 2021
SEC Releases Top Eight Exam Priorities for 2021
On March 3, 2021, the Securities and Exchange Commission’s Division [...]
18
01, 2021
SEC Greenlights Modern Marketing Rule for IAs
After a nearly year-long comment period, the SEC announced last [...]
16
11, 2020
SEC Flags Multi-Branch Office Compliance for RIAs
The SEC’s Office of Compliance Inspections and Examinations (OCIE) recently [...]
19
10, 2020
Are you Doing This One Thing on your Form CRS?
The Securities and Exchange Commission (SEC) has released updated frequently [...]
17
08, 2020
SEC Highlights Risks to Firms Due to COVID-19
The SEC’s Office of Compliance and Inspections and Examinations (OCIE), [...]
15
07, 2020
SEC Releases Alert on Ransomware Attacks
The Securities and Exchange Commission’s (SEC) exam division is warning [...]
29
06, 2020
Quest CE Releases Course on SEC Reg BI Guidance
MILWAUKEE – Quest CE, premier provider of compliance training and [...]
24
02, 2020
FINRA & SEC 2020 Exam Priorities Course Released
MILWAUKEE – Quest CE, premier provider of compliance training and [...]
17
01, 2020
FINRA & SEC Exam Priority-Inspired Course Options
With the recent publication of the SEC and FINRA examination [...]
