The $11M Cost of Failed Supervision
A recent FINRA arbitration case resulting in over $11 million [...]
14
02, 2025
14
02, 2025
Navigating FINRA’s 2025 Exam Priorities
FINRA's latest Regulatory Oversight Report signals significant shifts in regulatory [...]
10
02, 2025
Quest CE to Exhibit at 2025 IAA Compliance Conference
MILWAUKEE, WI – Quest CE, a leading provider of compliance [...]
7
02, 2025
Quest CE Announces New AML and Evolving Threats Course
MILWAUKEE, WI – Quest CE, trusted provider of compliance training [...]
24
01, 2025
Milwaukee’s ‘Best and Brightest’ Honor Awarded to Quest CE for 2025
Milwaukee, WI- January 24, 2025- Quest CE, a leading compliance [...]
18
11, 2024
SEC Examination Priorities for 2025: Key Areas of Focus Revealed
The SEC's Division of Examinations has released its examination priorities [...]
12
11, 2024
NASAA’s Memo on End of Year IAR CE Processing
The North American Securities Administrators Association (NASAA) has released important [...]
8
11, 2024
Maximizing Your CE Credits: CFP® and IAR Dual Credit Guide
Are you juggling both CFP® and IAR CE this year? [...]
13
09, 2024
[Webinar] Decoding FINRA Rule 3110: Key Insights for Branch Inspections
-Register Below- Quest CE is set to host an upcoming [...]
10
09, 2024
Navigating IAR CE: Key Requirements and FAQs
The IAR CE requirement has quickly taken the investment advisory [...]
