The Compliance Digest

Get expert compliance tips and up-to-date regulatory news.

Quest CE’s Best Selling E-learning Courses in 2020

In this article, we round up our “Top 10” bestselling Firm Element courses this year. Read More

23 Courses to Help you Celebrate Social Media Day!

To help you celebrate National Social Media Day, we highlighted some of our top social media and communications courses, all of which are great options to include in your 2020 training plans. Read More

The Top 10 Firm Element Courses of the Year

We were curious to know which of our Firm Element courses are leading the pack through the first few months in 2020. In this article, we feature the top 10 courses that are being delivered so far this year. Read More

CE Council Releases Q1 2020 Firm Element Advisory

Find out which regulatory topics the Council on Continuing Education (CE Council) recently published in its Q1 2020 Firm Element Advisory (FEA).
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What you Need to Know about FINRA’s CE Proposal

If you're involved in CE oversight at your firm, the following article summarizes FINRA's proposal to enhance it's continuing education program for securities professionals. Read More

FINRA & SEC Exam Priority-Inspired Course Options

To help you get a jump start on planning your compliance training calendar for the year, we’ve identified ten fan-favorite courses from our catalog that correlate with the areas of risk identified in this year’s priorities letters. Read More

Top 10 Firm Element Courses from 2019

What better way to jump into a new compliance year then by recapping our top ten Firm Element courses from 2019? Read More

Rep Fined/Suspended for Firm Element Malpractice

According to FINRA’s November Disciplinary Actions Notice, a registered representative was fined $3,000, suspended for three months and ordered to attend and satisfactorily complete 10 hours of continuing education (CE) for failing to complete his Firm Element continuing education.  Read More

CE Council Releases Q2 Firm Element Advisory

The Securities Industry/Regulatory Council on Continuing Education (Council) publishes the Firm Element Advisory (FEA) to highlight current regulatory and sales practice topics for possible inclusion in Firm Element training plans. Read More

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Best of 2019: Our “Top 10” Firm Element Courses

Have you ever been curious about which of our courses are most popular among firms today? In this article, we pull back the curtain by featuring our top 10 most delivered Firm Element courses in 2019, thus far. Read More