The Compliance Digest

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

Making a Fourth Quarter Compliance Comeback

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

“Top 10” Firm Element Courses in 2018 (So Far)

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

CE Council Releases 2018 Q2 Firm Element Advisory

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

Three Important Training KPIs You Should be Tracking

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

What are the FINRA Firm Element Requirements?

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

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

CE Council Releases Q3 Firm Element Advisory

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

How to Create an Effective Written Training Plan

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

20 Courses to Help you Celebrate Social Media Day!

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

CE Council Releases Q2 2017 Firm Element Advisory

The Securities Industry/Regulatory Council on Continuing Education (Council) just recently published its Q2 2017 Firm Element Advisory (FEA). Read More