[Webinar] Decoding FINRA Rule 3110: Key Insights for Branch Inspections
-Register Below- Quest CE is set to host an upcoming [...]
13
09, 2024
11
04, 2024
FINRA Intensifies Enforcement of Reg BI
In a recent settlement with the Financial Industry Regulatory Authority [...]
11
04, 2024
SEC & FINRA Cracking Down on Texting Violations
SEC and FINRA Impose Heavy Fines for Texting The Securities [...]
10
04, 2024
Compliance Expedition: Gear Up for Success with Quest CE’s Client Best Practice Webinar!
-Register Below- Pack your gear and join Quest CE's annual [...]
13
03, 2024
[Webinar] A Guide to FINRA and the SEC’s 2024 Exam Focus Areas
- Register Below - FINRA and the SEC have released [...]
10
10, 2023
That’s a Wrap! Steps to Close out Your Quest CE Program
-- REGISTER BELOW -- Pumpkin spice and apple cider are [...]
17
07, 2023
Five Things Every IA Firm CCO Needs to Know
Have you ever wondered what areas of compliance the SEC [...]
19
09, 2022
DOJ Circles Back on Corporate Compliance Programs
In a speech on September 15, 2022, Deputy Attorney General [...]
18
04, 2022
Four Things FINRA Wants You to Know about CCO Liability
For many firms, chief compliance officers (CCOs) are often [...]
11
10, 2021
Coming “Fall” Circle: Tips to Wrap-up your Quest CE Program
--- REGISTER BELOW --- Autumn has officially arrived and along [...]
