Quest CE Releases Course on FINRA and SEC Exam Priorities

MILWAUKEE – April 28, 2016 – Quest CE, premier provider of compliance training and tracking technology solutions, today announced the addition of a new Firm Element course to its e-learning catalog. The course, “FINRA and SEC Examination Priorities for 2016” … Continue reading

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Exam Question of the Week: Identifying Conflicts of Interest

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 Course on Identifying Conflicts of Interest

MILWAUKEE – April 14, 2016 – Quest CE, premier provider of compliance training and tracking technology solutions, today announced the addition of a new Firm Element course to its e-learning catalog. The course, “Identifying and Mitigating Conflicts of Interest” provides … Continue reading

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Exam Question of the Week: Microcap Securities Fraud

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 Course on OBA and PST Disclosures

MILWAUKEE – April 1, 2016 – Quest CE, premier provider of compliance training and tracking technology solutions, today announced the addition of a new Firm Element course to its e-learning catalog. The course, “Outside Business Activities and Private Securities Transactions … Continue reading

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Quest CE Hires Kelsey McKibben as Support Specialist

MILWAUKEE – March 30, 2016 – Quest CE, premier provider of compliance training and tracking technology solutions, is excited to welcome Kelsey McKibben to the position of Customer Service Support Specialist. In her new role, McKibben will provide online and … Continue reading

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Exam Question of the Week: Gifts and Gratuities

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 FINRA Course on Conflicts of Interest

MILWAUKEE – March 21, 2016 – Quest CE, premier provider of compliance training and tracking technology solutions, today announced the addition of a new FINRA Firm Element course to its e-learning catalog. Authored by FINRA, the course, “Conflicts of Interest” … Continue reading

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Compliance Consultant Q&A: Exam Advice for 2016

In a roundtable Q&A, Quest CE sits down with two expert compliance consultants to discuss what exam priorities compliance officers need to look out for this year. Speaking on the topic is Steven Thornton, President of Thornton and Associates and Daniel LeGaye, Legal … Continue reading

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Exam Question of the Week: Cybersecurity for Supervisors

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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