FINRA Fines & Suspends Rep for Off-Channel Messaging
FINRA has suspended and fined a former registered representative after [...]
12
09, 2025
11
09, 2025
Remote vs. In-Person CE Training – What’s Working in 2025?
The conversation around continuing education (CE) delivery has shifted dramatically [...]
22
08, 2025
Quest CE Releases Consolidated Audit Trail (CAT) Essentials Course
MILWAUKEE, WI – Quest CE, trusted provider of compliance training [...]
30
07, 2025
FinCEN Postpones AML Rule—Here’s Why Firms Shouldn’t Wait
On July 21, 2025, the Financial Crimes Enforcement Network (FinCEN) [...]
9
06, 2025
5 Major Themes from the 2025 FINRA Conference
The 2025 FINRA Annual Conference brought together compliance professionals, regulators, [...]
28
03, 2025
Key Takeaways from the 2025 IAA Compliance Conference
This March, our Quest CE team had the opportunity to [...]
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 [...]
