Category Archives: Financial Services News
Dodd-Frank Provisions Push for Tougher Broker-Dealer Audit Standards
BROKER-DEALER COMPLIANCE NEWSLETTER EXCERPT – April 2012 –According to Bloomberg Buisnessweek, under the newly proposed principles by the Public Company Accounting Oversight Board (PCAOB), both broker-dealers and public companies “would be subject to stricter audits that probe relationships with subsidiaries, shareholders … Continue reading
SEC Budget Requests More Examiners
INSURANCE NEWSLETTER EXCERPT – March 2012 – According to a recent InvestmentNews release, the recent budget proposal by the Obama administration would allow the Securities and Exchange Commission (SEC) to add over 200 new RIA examiners. Many think this proposal will … Continue reading
Quest CE Exhibiting Partner at the 2012 IRI Marketing Summit
MILWAUKEE – March 5, 2012 – This April, Quest CE is proud to be an exhibiting partner at the 2012 IRI Marketing Summit, “Retirement. Reinvented.” The Insured Retirement Institute is a national not-for-profit organization that brings together the interests of … Continue reading
Codex, the Financial Services Industry’s Only Turnkey, Social Media Compliance Solution
MILWAUKEE – December 14, 2011 –Quest CE, premier provider of insurance continuing education and FINRA firm element training unveils Codex, the Financial Services Industry’s only turnkey, social media compliance solution. Quest CE’s Codex is the next generation of social media compliance, … Continue reading
Quest CE Presents Codex: The Social Media Archiving Solution
MILWAUKEE – November 7, 2011 –Quest CE, premier provider of insurance continuing education and FINRA firm element training, is proud to announce Codex, the industry’s most comprehensive social media solution for firms seeking FINRA regulatory compliance. Under FINRA Notification 10-06, registered … Continue reading
New York Update
Insurance agents, brokers and other licensees of the New York State Insurance Department are now able to obtain and print copies of new and renewed licenses by accessing a self-service feature on the Insurance Department’s website, http://www.ins.state.ny.us/elec_license_req.htm. The new electronic … Continue reading
Montana Update
Recent research indicates that investors in Montana are increasingly turning to gold-related investments, due to gold prices reaching record highs. The Montana Commissioner of Securities and Insurance wants investors to be cautious regarding this type of investment and has issued … Continue reading
Florida Update
The Florida Office of Insurance Regulation recently announced that Florida has entered into a multi-agency Non-admitted Insurance Multi-State Agreement (NIMA) with Mississippi and Hawaii (other states are expected to join). The agreement, authorized by the Dodd-Frank Wall Street Reform and … Continue reading
California Update
The Insurance Commissioner of California recently announced that the Assembly passed AB 999. The bill, sponsored by the California Department of Insurance, protects consumers from excessive premium rate volatility by modifying the long-term care insurance premium rate development process. Consumers … Continue reading
Quest CE Announces New Firm Element Course on FINRA Rules 2090 and 2111
MILWAUKEE – May 31, 2011 – Quest CE, premier provider of insurance continuing education and FINRA firm element training, is proud to announce the authoring of a new course titled, “FINRA Rules 2090 and 2111: Know Your Customer and Suitability.” … Continue reading
