Quest CE

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SEC Exam Priorities to Focus on MSRB/FINRA

The SEC's Office of Compliance Inspections and Examinations (OCIE) has published its 2018 examination priorities. To no one’s surprise, it will continue to focus on the protection of retail investors and ensuring that registrants are appropriately disclosing or resolving conflicts of interest. Additionally, the OCIE will pay particular attention to developments in cryptocurrencies, initial coin offerings (ICOs) and the oversight of FINRA and MSRB firms. Read More

Top 10 Quest CE E-Learning Courses from 2017

With over 450 training courses to choose from, have you ever wondered which of our training courses are most assigned, across markets? After analyzing thousands of user accounts, provided is a ranked list of our “top 10” most popular courses from 2017. Read More

FINRA Reveals Examination Priorities for 2018

Earlier this month, FINRA released its annual regulatory and examination priorities letter, which drew on some reoccurring issues firms should pay close attention to in 2018, including high-risk brokers, fraud and cybersecurity. Additionally, the regulator flagged several uncharted areas of focus, including cryptocurrencies, securities-backed lines of credit and business continuity planning. Read More

How to Keep Your Compliance Resolutions

For many of us, New Year’s resolutions are grandly made and easily broken. Why? Because a resolution is just that – a decision. To make actual change in your personal or professional life, you need a lot more than a decision, you need a plan. Read More

[Slideshow] FINRA Releases First Ever Exam Findings

Last Wednesday, FINRA released its first ever examination findings report, which summarizes common risks unveiled during broker-dealer audits. Read More

Firm Fined $20K for Inadequate Policies & Training

In this month’s FINRA Disciplinary Actions Notice, a firm from Red Bank, New Jersey was censured, fined $20,000, and required to review and revise its systems, policies and procedures and training with respect to the sale of leveraged, inverse and inverse-leveraged exchange-traded funds (non-traditional ETFs). Read More

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