Category Archives: Firm Element Best Practice Series

September FINRA Firm Element Best Practice Webinars

Posted on September 12, 2011 by Admin

Quest CE is hosting a series of Firm Element Best Practices Webinars with focus on FINRA Audits and Audit Assitance. Please join us September 20th, at 11:00 am CST, or September 21st, at 2:00 pm CST, to join the discussion … Continue reading →

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July Firm Element Best Practice Topics

Posted on July 18, 2011 by Admin

Quest CE is hosting our July Firm Element Best Practice Series Webinars on July 19th and 20th at 11 am CST. We will be covering the following topics: Regulatory Updates SEC Investor Bulletin: Reverse Mergers Trending Topic: FINRA, SEC Investor … Continue reading →

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June Firm Element Best Practices Agenda

Posted on June 8, 2011 by Admin

Regulatory Updates -    New Whistleblower Rule Follow-Up -    Trending Topic: New Disciplinary Actions Database -    FINRA Conference: Ketchum Exam Priorities -    AML Compliance Best Practices -    Due Diligence (Part 3 of 3) New at Quest CE! -    FE Program Data … Continue reading →

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May Firm Element Best Practices Agenda

Posted on May 11, 2011 by Admin

Regulatory Updates FINRA Exam Priorities Trending Topic: FINRA Expanding Their Reach New Whistle-blower Rule Best Practices Due Diligence: Selecting Your FE Training Provider (Part 2) What’s New at Quest CE Three New Quest CE Firm Element Courses Instructor-Led NAIC Annuity … Continue reading →

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Firm Element Best Practices Webinar Recording

Posted on April 25, 2011 by Admin

This is a reminder to everyone that attended one of our April Firm Element Best Practices Series Webinars last week that we recorded both sessions. If you missed out on the opportunity to sit in on the live Webinar or … Continue reading →

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Reminder: April FE Best Practices Webinar | Sign up today!

Posted on April 19, 2011 by ssimmons

Regulatory Updates FINRA Proposal: Monitor Outsourcing Agreements Trending Topic: Regulation D & Private Placements FINRA Delays Implementation of New Suitability Rules Best Practices Due Diligence: Selecting Your FE Training Provider (Part 1) What’s New at Quest CE Improved 2011 Course Catalog … Continue reading →

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April FE Best Practices Webinar Agenda

Posted on April 12, 2011 by Admin

Regulatory Updates FINRA Proposal: Monitor Outsourcing Agreements Trending Topic: Regulation D & Private Placements FINRA Delays Implementation of New Suitability Rules Best Practices Due Diligence: Selecting Your FE Training Provider (Part 1) What’s New at Quest CE Improved 2011 Course … Continue reading →

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March FE Best Practices Webinar Agenda

Posted on March 17, 2011 by Admin

Regulatory Updates FINRA Rule 4530 – Self-reporting Violations Trending Topic: Social Media FINRA Warns of Facebook-Linked Pre-IPO Scams Best Practices How to Avoid Frustrating Your Reps Choose the Right Content Be Upfront with Length of Content/Exams Set Realistic Time lines … Continue reading →

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March Firm Element Best Practices Webinar

Posted on March 1, 2011 by Admin

Quest CE is hosting a series of Firm Element Best Practices Webinars on March 23rd and the 24th. Register today to join the discussion and be on the cutting edge of regulatory compliance and securities training best practices. Topics will … Continue reading →

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February Firm Element Best Practices Webinar

Posted on February 10, 2011 by Admin

Quest CE is hosting a series of Firm Element Best Practices Webinars on February 16th and the 17th. Register today to join the discussion and be on the cutting edge of regulatory compliance and securities training best practices. February 16th … Continue reading →

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