The Compliance Digest

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

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

One Year In: Regulators Recap Senior Safe Act

In acknowledgment of the one-year anniversary of the passage of The Senior Safe Act, the SEC, NASAA, and FINRA have issued a fact sheet to help raise awareness on how the Act’s immunity provisions work. Read More

CE Council Releases Q1 2019 Firm Element Advisory

The Securities Industry/Regulatory Council on Continuing Education (Council) just recently published its Q1 2019 Firm Element Advisory (FEA). Read More

Rep Suspended for Failing to Complete Firm Element

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

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