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  1. FINRA Election Defeats & Small Firms Get Relief

    01:11

    from Quest CE Added 174 1 0

    This month, we discuss FINRA’s board election, new exam cycles for small firms and how brokerage customers continue to win.

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    • IARs go to School & Expungement Fees Get Retooled

      01:11

      from Quest CE Added 164 0 0

      This month, we discuss NASAA's recent CE proposal, FINRA's new expungement fees, and updates to arbitration awards.

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      • Cook’s Salary Rises and Branch Audit Surprises

        01:11

        from Quest CE Added 155 0 0

        This month, we discuss FINRA’s much-criticized proposal, regulator salaries and a case involving falsified audit documents.

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        • SEC Cracks the Whip & FINRAs Numbers Dip

          01:11

          from Quest CE Added 149 0 0

          This month, we discuss the SEC cracking down on illegal lending, FINRA’s firm numbers, and the SEC’s stance on a bitcoin ETF.

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          • FINRA Goes Rogue & Where the Money Goes

            01:11

            from Quest CE Added 116 0 0

            This month, FINRA targets high-risk brokers, reveals how they spend their fine money, and warns investors about social media.

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            • FINRA's Target Signs & 2018 Fines

              01:16

              from Quest CE Added 102 0 0

              This month, FINRA issues upcoming rules targeting rogue brokerages and provides an overview of all fines levied in 2018.

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              • FINRA's New Tool & "It's Not Our Rule"

                01:11

                from Quest CE Added 96 0 0

                This month, we discuss FINRA’s plan for Regulation BI, their new investor website, and the outcry to end FINRA arbitrations.

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                • FINRA Gets Pressed & Which Regulation's Best

                  01:16

                  from Quest CE Added 85 0 0

                  This month, FINRA receives letter from Senator Elizabeth Warren asking where they stand on their expungement reform and FINRA’s suitability rule may soon be gone.

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                  • FINRA Fees Rise & Reg BI

                    01:18

                    from Quest CE Added 74 0 0

                    This month, we look at FINRA's plan to increase broker-dealer fees and discuss what Robert Cook has to say about future Reg BI guidance.

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                    • Crypto Applications on Hold & New ETF Breaks The Mold

                      01:11

                      from Quest CE Added 44 0 0

                      This month, the SEC approves a new ETF, Crypto firms get stonewalled by FINRA, and a Senior Safe Act fact sheet gets released.

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                      • FINRA Gets Phishy & the Changing Game

                        01:18

                        from Quest CE Added 26 0 0

                        This month, FINRA sends a regulatory notice warning brokers of a new phishing scam and regulators look to evaluate the impact of more GameStop fall out.

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                        Compliance Digest Videos” by Quest CE has 11 videos.

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