NASAA Finds Firms are Missing the Mark on Reg BI
When Regulation Best Interest (Reg BI) went into effect in [...]
11
11, 2021
11
11, 2021
Your Official Guide to FINRA’s 2022 Annual Renewals
Cooler air, fallen leaves and the start of the holiday [...]
11
11, 2021
SEC Sweep Exam Uncovers Multiple Fee Calculation Errors
“Every dollar an investor pays in fees and expenses is [...]
28
10, 2021
Quest CE Approved as Authorized Provider of IAR CE
MILWAUKEE –October 28, 2021– Quest CE, premier provider of compliance [...]
27
10, 2021
How to Create a Plan of Action for Your 2022 CE Program
It’s planning season! Everyone's favorite time of the year, am [...]
27
10, 2021
The Best of Both Worlds: Introducing Hybrid CE Events
Virtual conferences. Virtual meetings. Virtual happy hours. It seems like [...]
25
10, 2021
Quest CE to Exhibit at 2021 NSCP National Conference
MILWAUKEE, WI – October 25, 2021– Quest CE, premier provider [...]
18
10, 2021
New Course: Outside Business Activities Vs. Private Securities Transactions
MILWAUKEE – Quest CE, premier provider of compliance training and [...]
14
10, 2021
How to Prevent Holiday Gift-Giving That Breaks FINRA’s Rules
With November right around the corner, it’s important that compliance [...]
14
10, 2021
FINRA Urges Compliance with FinCEN’s AML/CFT Priorities
The Financial Industry Regulatory Authority (FINRA) is encouraging member firms [...]
