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  1. FINRA Election Defeats & Small Firms Get Relief

    01:11

    from Quest CE Added 168 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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    • Cook’s Salary Rises and Branch Audit Surprises

      01:11

      from Quest CE Added 148 0 0

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

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      • FINRA Goes Rogue & Where the Money Goes

        01:11

        from Quest CE Added 112 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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        • SEC Cracks the Whip & FINRAs Numbers Dip

          01:11

          from Quest CE Added 104 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's Target Signs & 2018 Fines

            01:16

            from Quest CE Added 100 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 Gets Pressed & Which Regulation's Best

              01:16

              from Quest CE Added 83 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's New Tool & "It's Not Our Rule"

                01:11

                from Quest CE Added 72 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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                • Crypto Applications on Hold & New ETF Breaks The Mold

                  01:11

                  from Quest CE Added 42 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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