Tagged finra
Press Release
HubStor Touts Azure Compliance Archiving With Event-Based Retention and Content-Aware WORM Compliant Storage in the Cloud
NEW ARCHIVING FEATURES IN HUBSTOR HELP COMPANIES USE MICROSOFT AZURE TO SATISFY REGULATORY COMPLIANCE REQUIREMENTS AT SIGNIFICANTLY LESS COST THAN TRADITIONAL PRIVATE CLOUD OR ON-PREMISES APPROACHES Read More
Press Release
Yokal Sports, the First Crowd Sourced Video Service for School Sports, is Now Open for Investing via truCrowd Portal
Taking advantage of the new Reg CF, Yokal Sports is raising money with the goal of bringing better media coverage to high school and college sports. Under the new regulation anyone can invest as little as $100 in startups they love. Read More
Press Release
TruCrowd Approved to Be a Funding Portal Under Regulation Crowdfunding
Under Regulation Crowdfunding (Title III of JOBS ACT) anyone can invest as little as $100 in startups and developing companies. The sale of the securities has to happen via a funding portal or a broker-dealer. Read More
Press Release
Quest CE Receives 2015 GRC Innovation Award
Quest CE, premier provider of compliance training and tracking technology solutions, today announced that its Branch Audit Management Platform has been honored with a 2015 GRC Innovation Award in the User Interface and Experience Category by GRC analyst firm GRC 20/20. Read More
Press Release
Quest CE Announces Agreement with FINRA to Deliver E-Learning
Quest CE, premier provider of insurance continuing education and Firm Element training, is pleased to announce an agreement with FINRA to deliver its entire E-Learning Course Library directly through Quest CE's Learning Management System. Read More
Press Release
Quest CE to Attend FINRA's 2014 Annual Conference
Quest CE, premier provider of insurance continuing education and FINRA firm element training, announced today that it would, for the fourth consecutive year, be an exhibiting partner at FINRA's 2014 Annual Conference in Washington, D.C., May 19 - 21. Read More
Press Release
Quest CE Debuts Licensing and Registration Platform, Bridge
Quest CE, a leading provider of compliance management technology and continuing education training, announced today the highly anticipated debut of its securities licensing and registration platform, Bridge for Broker-Dealers. Read More
Press Release
Quest CE to Attend NSCP National Membership Meeting
Quest CE, premier provider of insurance continuing education and FINRA firm element training, is excited to announce its attendance at the National Society of Compliance Professionals Conference in Washington, D.C., October 22-24. Read More
Press Release
Quest CE to Attend 2012 Annual FINRA Conference
Quest CE, premier provider of insurance continuing education and FINRA firm element training, is excited to announce its attendance at FINRA's 2012 Annual Conference in Washington, D.C., May 21 - 23. FINRA's Annual Conference provides compliance Read More
Press Release
Securities Arbitration Advocate Announces 2012 Goal: 500,000 New Claims in 2012 Against Wall Street. Burned Investors Can Fight Back and Win.
Leading burned investor's advocate says the 2012 goal of 500,000 new arbitration cases can be achieved if securities arbitration dispute resolution programs are publicized across America on all media platforms and given voice by social media. Read More
Press Release
Securities Arbitration: Burned Investors Lack of Use Criticized.
FINRA securities arbitration filings of just 4,000 cases in 2011 (through October) means that Occupy Wall Street isn't communicating or that Wall Street's and FINRA's failure to publicize arbitration has again rendered Wall Street the winner. Read More
Press Release