Category Archives: Online Annual Compliance Meeting
Quest CE’s New York Annuity Training Course Approved
MILWAUKEE – September 16, 2011 – Quest CE, premier provider of insurance continuing education and FINRA firm element training and tracking, is proud to announce their New York 4-Hour Annuities Training Course has been approved and satisfies Regulation 187 for … Continue reading
September is Client Appreciation Month at Quest CE Solutions
This year at Quest CE we have a great deal to be thankful for. Within the past few months we have celebrated our 5th Anniversary as Quest Continuing Education Solutions; awarded one of the ”Top Milwaukee Workplaces” by the Milwaukee … Continue reading
Our Surveys vs. Their Surveys
A part of every broker dealers firm element program consists of surveys. Whether they be Annual Compliance Questionnaires (ACQ), Outside Business Activities (OBA), Gifts and Entertainment, or Needs Analysis Surveys. As your company’s Compliance Officer you are in charge of … Continue reading
Conduct Your Annual Compliance Meeting On-Demand with Quest CE
Online Annual Compliance Meeting Solution FINRA Conduct Rule 3010 requires an annual compliance meeting to be held with all registered personnel. • Online Questionnaire automate the Q&A Process • Deliver Annual Compliance Meetings On-Demand Over the Internet • Online Q&A … Continue reading
