Quest CE

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How to Create an Effective Written Training Plan

Here are seven tips on how to design, develop and implement a successful written training plan, leading to more engaged representatives and the attainment of key compliance goals. Read More

FINRA Releases Video Series on Cybersecurity Pitfalls

In a three part video series, FINRA provides guidance on common deficiencies it has identified during its cybersecurity examinations of member firms. These failings include branch controls, data protection and password security and act as a to-do list of things broker-dealers should do to ensure their cybersecurity protocols are up to snuff. Read More

Common FINRA Exam Deficiencies for Small Firms

This article summarizes some of the most common rule violations for small firms, as outlined by FINRA regulators. Read More

Tips on How to Prepare for Your Next FINRA Exam

FINRA exams are challenging for everyone, however, there are several steps firms can take to better prepare for an onsite investigation. Read More

Key Takeaways from the FINRA Conference

More than 1,000 attendees and approximately 150 speakers attended FINRA’s annual conference back in May – including a team from Quest CE who took part in the three-day exhibitor fair. Read More

CE Council Releases Q2 2017 Firm Element Advisory

The Securities Industry/Regulatory Council on Continuing Education (Council) just recently published its Q2 2017 Firm Element Advisory (FEA). Read More

Spring Cleaning – Your Master Compliance Checklist

Approaching updates with a “housekeeping” frame of mind can help your organization make the minor adjustments it needs to meet any new requirements. Read More

Firm Expelled and Fined $100K

A firm from Carrollton, Texas was expelled from FINRA membership and fined $100,000, while it’s CCO was fined $25,000, barred and suspended for three months. Read More

FINRA’s “Top Five” Biggest Fines from 2016

According to a recent report conducted by Eversheds Sutherland, 2016 was a record shattering year for FINRA fines, surpassing last year’s total by 87% and breaking the previous record set back in 2014. Read More

FINRA Requests Comment on Rule 2210

As part of FINRA’s retrospective review of its rules governing communications with the public, the self-regulatory authority is soliciting comment on proposed amendments to FINRA Rule 2210 (Communications with the Public). Read More