SEC Charges Firm/Reps with Multiple Reg BI Infractions
The Securities and Exchange Commission (SEC) recently charged a California-based [...]
20
06, 2022
20
06, 2022
Are you Prepared for FINRA’s CE Transformation?
Since 2018, FINRA and the CE Council have been working [...]
15
06, 2022
Quest CE Named One of the Nation’s “Best and Brightest” for Third Year
Quest CE is pleased to announce that it has been [...]
13
06, 2022
Quest CE Releases FINRA Course on Compliance Reminders
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
8
06, 2022
Quest CE Releases Course on New NY CE Requirement
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
1
06, 2022
[Webinar] A Step-By-Step Guide to Optimizing your Quest CE Program
--- REGISTER BELOW --- Managing a compliance program is a [...]
12
05, 2022
CE Council Releases Q1 2022 Firm Element Advisory
The Securities Industry/Regulatory Council on Continuing Education (Council) recently released [...]
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 [...]
31
03, 2022
Quest CE Releases Course on Required Minimum Distributions
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
