Key Takeaways from the 2025 IAA Compliance Conference
This March, our Quest CE team had the opportunity to [...]
28
03, 2025
14
02, 2025
The $11M Cost of Failed Supervision
A recent FINRA arbitration case resulting in over $11 million [...]
31
01, 2025
Quest CE Adds RSL and Remote Inspection Type to Branch Audit Tool
MILWAUKEE – January 31, 2025 - Quest CE, trusted provider of [...]
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 [...]
14
01, 2025
Cracked in Seconds: 2024’s Most Dangerous Passwords
As we bid farewell to 2024, it's time for our [...]
13
09, 2024
[Webinar] Decoding FINRA Rule 3110: Key Insights for Branch Inspections
-Register Below- Quest CE is set to host an upcoming [...]
27
08, 2024
How to Verify Your IAR CE Credits Were Reported
As December 31st looms, the IAR CE deadline draws near. [...]
24
05, 2024
SEC Slaps Firm with $10 Million Fine for Cyber Incident
In a recent development, the Securities and Exchange Commission (SEC) [...]
16
05, 2024
Firm Fined Over $700,000 for Regulatory Violations
In a recent development, the Financial Industry Regulatory Authority (FINRA) [...]
1
05, 2024
Quest CE Gears Up for 2024 FINRA Annual Conference
MILWAUKEE, WI – May 1st, 2024– Quest CE, a leading [...]
