Quest CE’s Newest FINRA Course Regarding Business Conduct
MILWAUKEE –February 16, 2012 – Quest CE, premier provider of insurance continuing education and FINRA firm element training, is proud to announce the latest addition to their FINRA course line up, Business Conduct-Institutional: Understanding Information Barriers. This course is designed … Continue reading
FINRA Regulatory Notice 12-05
BROKER-DEALER COMPLIANCE NEWSLETTER EXCERPT – February 2012 – According to FINRA, they have received numerous reports of customers losing funds to theft due to instructions that were emailed to firms from customer email accounts indicating a desire to transmit or withdraw … Continue reading
Small Broker-Dealers Stay Cool under New Market Pressure
BROKER-DEALER COMPLIANCE NEWSLETTER EXCERPT – February 2012 – According to an AdviserOne article, broker-dealers find themselves in a new financial services environment with new and increased rules and regulation, fee compression and industry consolidation. These hazardous conditions leave some uncertain … Continue reading
RIAs: Don’t Wait for the Switch, Take Action
RIA NEWSLETTER EXCERPT – February 2012 – By the middle of 2012, advisers who posses assets under management ranging from $25 million to 100 million will be making the switch from residing under Federal regulation to State regulation. According to … Continue reading
SEC Redefines Insurance Suitability Qualifiers for Certain Products
INSURANCE NEWSLETTER EXCERPT – February 2012 – According to an AdviserOne article the SEC decided to redefine the accredited investor standard that is used to determine whether or not someone is permitted to purchase insurance product that allows investors the … Continue reading
Carriers Looking Past Variable Annuities and onto SALBs
INSURANCE NEWSLETTER EXCERPT – February 2012 –According to an InvesmentNew’s article, Carriers who are interested in attracting fee-based and fee-only advisers are looking past variable annuities and onto Stand-Alone Living Benefits (SALB) that combine guaranteed-lifetime-withdrawal benefits from variable annuities with an … Continue reading
Quest CE Promotes Whitney Hagstrom to Manager of Business Development
MILWAUKEE – February 3, 2012 – Quest CE, premier provider of insurance continuing education and FINRA firm element training, is proud to announce the promotion of Whitney Hagstrom to Manager of Business Development. Whitney has been with Quest CE since … Continue reading
Benefits of Value-Add Continuing Education: A Quest CE Webinar
Quest CE introduces its highly anticipated webinar series for the insurance industry. This introductory webinar featuring an in-depth discussion of Quest CE’s Financial Adviser Survey, as well as the benefits that lie within offering value-add continuing education, will offer insight … Continue reading
Staci Simmons Promoted to Manager of Marketing Communications
MILWAUKEE – January 20, 2012 –Quest CE, premier provider of insurance continuing education and FINRA firm element training, is pleased to announce the promotion of Staci Simmons to Manager of Marketing Communications. Stepping into her new role, Simmons will lead, implement, … Continue reading
Executive Team Members Partner with IRI as Committee Members
MILWAUKEE – January 17, 2012–Quest CE, premier provider of insurance continuing education and FINRA Firm Element Training, proudly announces the addition of five Quest CE executive team members to the Insured Retirement Institute’s (IRI) committee seats. IRI is a not-for-profit organization … Continue reading
