Question of the Week: Advanced Anti-Money Laundering Overview

Test your industry knowledge by answering Quest CE’s exam question of the week! Exam questions are drawn directly from Quest CE’s exam portal, and feature a wide range of topics including suitability, ethics, regulation and anti-money laundering. Be sure to submit … Continue reading

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Quest CE Releases Firm Element Course on MSRB Rule G-3

MILWAUKEE – January 25, 2016 – Quest CE, premier provider of insurance continuing education and FINRA Firm Element training, today announced the addition of a new Firm Element course to its e-learning catalog. The course, “MSRB Rule G-3” begins with … Continue reading

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Question of the Week: Advanced Look at Mutual Funds

Test your industry knowledge by answering Quest CE’s exam question of the week! Exam questions are drawn directly from Quest CE’s exam portal, and feature a wide range of topics including suitability, ethics, regulation and anti-money laundering. Be sure to submit … Continue reading

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SEC Announces 2016 Exam Priorities

On January 11, 2016, the Securities and Exchange Commission (SEC) announced its annual list of examination priorities for 2016. Similar to last year’s release, the SEC plans to focus on three thematic areas, which include: Protecting Retail Investors (with an … Continue reading

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Quest CE Named one of Milwaukee’s “Best and Brightest” Companies

MILWAUKEE – January 13, 2016 – Quest CE, premier provider of compliance training and tracking technology solutions, has been named one of Milwaukee’s Best and Brightest Companies to Work For®. Presented by the National Association for Business Resources (NABR), this … Continue reading

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Quest CE Authors Three New Anti-Money Laundering Courses

MILWAUKEE – January 8, 2016 – Quest CE, premier provider of compliance training and tracking technology solutions, announced today the addition of three new Anti-Money Laundering (AML) courses to its e-learning library. Anti-Money Laundering and Red Flags for Institutional Clients … Continue reading

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FINRA Releases its 2016 Regulatory and Exam Priorities Letter

MILWAUKEE – January 7, 2016 – On Tuesday, January 5, 2016, the Financial Industry Regulatory Authority (FINRA) released its crystal ball forecast, or 2016 Regulatory and Examination Priorities Letter, describing what the agency plans to focus its enforcement efforts on this year. … Continue reading

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[Slideshow] Top 10 Compliance Fails of 2015

Top 10 Compliance Fails of 2015 10  |  9  |  8  |  7  |  6  |  5  |  4  |  3  |  2  |  1  

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Question of the Week: AML for Bank-Affiliated Broker-Dealers

Test your industry knowledge by answering Quest CE’s exam question of the week! Exam questions are drawn directly from Quest CE’s exam portal, and feature a wide range of topics including suitability, ethics, regulation and anti-money laundering. Be sure to submit … Continue reading

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Quest CE Releases 2016 Firm Element, AML & ACM Catalogs

MILWAUKEE – December 29, 2015 – Quest CE, premier provider of compliance training and tracking technology solutions, is proud to announce the early release of its 2016 Firm Element, Anti-Money Laundering and Annual Compliance Meeting course catalogs. With over 450 … Continue reading

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