Quest CE

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Are your Gift & Entertainment Policies Holiday Ready?

With the holidays just around the corner, it’s the perfect time for your company to review its gift and entertainment policies and procedures with firm employees.  Read More

Clayton Reveals SEC’s 2018 Agenda in One Word

In a speech at the Practicing Law Institute’s 49th Annual Institute on Securities Regulation in New York last week, SEC Chairman Jay Clayton used one word to describe his agency’s plan to deter, mitigate and eliminate fraud in the near and long-term future... Read More

SEC Prioritizing Investment Adviser Compliance

As the number of registered investment advisers continues to increase, the SEC is set on stepping up its scrutiny of this fast growing class of investment professionals. Read More

FINRA Fines on Pace to Drop 73% in 2017

FINRA appears to be softening its enforcement actions in 2017, as it's on pace to deliver only a fraction of the fines it reported last year. Read More

Common AML Compliance Program Deficiencies

AML compliance remains a challenge for many firms that continue to struggle with implementing stringent internal controls as the regulatory landscape continues to shift and change. In this article, we outline some of the most recent AML-related disciplinary actions recorded by FINRA since January 2017. Read More

How to Make Your Compliance Message “Stick”

In today’s world of information overload, you need to grab your readers’ attention by making your communication “stick.”  This is especially important in our industry, where the follow through on certain communications can be the difference between compliance and non-compliance. To help out, consider the following key points to make your communications more effective and “stick” with its intended audience. Read More

CE Council Releases Q3 Firm Element Advisory

The Securities Industry/Regulatory Council on Continuing Education (Council) just recently published its Q3 2017 Firm Element Advisory (FEA). In the report, the Council identifies regulatory and sales practice topics that firms should consider in their Firm Element training plans. Read More

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