According to FINRA’s February Disciplinary Actions Notice, a registered representative from Chesapeake, Virginia was assessed a deferred fine of $2,500, suspended from association with any FINRA member in all capacities for three months and required to complete 10 hours of continuing education for failing to complete his Firm Element continuing education. Read More

While the compliance comeback is no easy feat, I’m here to tell you that there’s still time, and by following the below training tips you can have your program up and running before the play clock expires. Read More

At Quest CE, there is no shortage of continuing education courses. The difficult question is determining which training is best suited for your firm. In this article, we outline our top 10 most popular Firm Element courses in 2018, thus far. Read More

In this article, we identify regulatory and sales practice topics the CE Council recommends firms consider in their 2018 Firm Element training plans. Read More

In this blog, we’ll look at three key performance indicators (KPIs) that can provide data to back up the value of your training program. Read More

Firm Element Continuing Education: who needs it? Why do we need it? And what’s involved in the training process? These are the common questions that broker-dealers deal with on an annual basis. Read More

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

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

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

In case you missed it, today is #NationalSocialMediaDay. In celebration of this #hashtag holiday, we’re highlighting a few of our most popular ‘Social Media’ and ‘Communications with the Public’ courses. Read More