Quest CE Releases Course on the Custody Rule for IAs
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
25
04, 2022
20
04, 2022
[Webinar] Emerging Trends from the 2022 FINRA & SEC Priorities Letters
--- REGISTRATION CLOSED: FULL CAPACITY --- If you're like us, [...]
18
04, 2022
The SEC’s Top Five Exam Priorities for 2022
On March 30, 2022, the Securities and Exchange Commission’s (“SEC”) [...]
18
04, 2022
Four Things FINRA Wants You to Know about CCO Liability
For many firms, chief compliance officers (CCOs) are often [...]
18
04, 2022
FINRA Offers Guidance for Handling OBAs and PSTs
Each year, we anticipate the release of the report on [...]
5
04, 2022
Quest CE Releases Course on Alternative Mutual Funds
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
31
03, 2022
Quest CE Releases Course on Required Minimum Distributions
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
28
03, 2022
Quest CE Releases Course on Short Selling & Reg SHO
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
24
03, 2022
Quest CE Named Elite Winner at Milwaukee’s Best & Brightest Event
March 24, 2021 – Milwaukee, WI — Today, the [...]
14
03, 2022
Quest CE Releases Course on Special Purpose Acquisition Companies
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
