Category Archives: FINRA News & Training
FINRA Fees May Raise Up to 50% for B-Ds
BROKER-DEALER COMPLIANCE NEWSLETTER EXCERPT – May 2012 –A recent InvestmentNews article revealed that the Financial Industry Regulatory Authority Inc. (FINRA) is raising multiple user fees it charges broker-dealer. “The broader economic downturn continues to affect trading volumes and industry revenues, which … Continue reading
Quest CE’s Codex Partners with Erado Archiving Technology
MILWAUKEE – April 02, 2012 – As social media use continues to diffuse into the professional atmosphere of the financial services industry, it is important now more than ever for firms to develop a compliance policy and archiving solution, before … Continue reading
Quest CE Offers Free Social Media Compliance Survey
MILWAUKEE – March 30, 2012 – Quest CE is offering their Social Media Compliance Survey for registered representatives free of charge for firms and their registered representatives. Social media compliance is fresh on the mind of regulators and auditors alike, and accurately … Continue reading
What Every BD Should Know: FINRA’s 2012 ‘Watch List’
BROKER-DEALER COMPLIANCE NEWSLETTER EXCERPT – March 2012 – According to AdvisorOne, FINRA released its 2012 regulatory and examination watch list to prepare firms for the extensive product listings for which they will be looking for. The watch list specifies that … Continue reading
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
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
Quest CE Presents the Firm Needs Analysis Survey
In accordance with FINRA regulations and firm element training and tracking needs, Quest CE’s Firm Needs Analysis Survey provides firms with a comprehensive way to evaluate and prioritize the needs of their broker dealers and associated sellers to create a tailored firm element program.
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New FINRA “Annual Compliance Reminders” Course
MILWAUKEE – June 7, 2011 – Quest CE, premier provider of insurance continuing education and FINRA firm element training, is proud to announce the addition of a new course to their Firm Element Course Catalog titled, “Annual Compliance Reminders for … 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
