Quest CE Releases New Senior Suitability & Investor Protection Course
MILWAUKEE, WI – Quest CE, trusted provider of compliance training [...]
16
03, 2026
16
03, 2026
Quest CE Releases New Security-Based Swaps Course
MILWAUKEE, WI – Quest CE, trusted provider of compliance training [...]
13
03, 2026
FINRA’s Q1 2026 Regulatory Agenda
FINRA recently released its February 2026 Quarterly Regulatory Policy Agenda [...]
13
03, 2026
$80M AML Penalty Sends Warning to Broker-Dealer Industry
The largest anti-money laundering penalty ever imposed on a broker-dealer [...]
13
03, 2026
FINRA Officially Raises Gift Limit to $300
FINRA has approved amendments to FINRA Rule 3220 that increase [...]
13
03, 2026
Is FINRA’s Independent Role Under Threat?
A congressional hearing last week put one of the securities [...]
10
03, 2026
How Firms Can Manage IAR CE with Self Pay
Managing Investment Adviser Representative Continuing Education (IAR CE) across your [...]
26
02, 2026
Webinar Recap: 2026 FINRA and SEC Exam Priorities
In our recent webinar, 2026 FINRA & SEC Exam Priorities: [...]
25
02, 2026
Quest CE’s Top Firm Element Courses From 2025
The compliance landscape evolved significantly throughout 2025, with new regulatory [...]
24
02, 2026
Quest CE Releases New AML Risks in Non-U.S. Accounts Course
MILWAUKEE, WI – Quest CE, trusted provider of compliance training [...]
