Four Reg BI Takeaways from the 2022 FINRA Conference
It’s hard to believe that two years ago the SEC’s [...]
20
06, 2022
20
06, 2022
SEC Charges Firm/Reps with Multiple Reg BI Infractions
The Securities and Exchange Commission (SEC) recently charged a California-based [...]
18
04, 2022
The SEC’s Top Five Exam Priorities for 2022
On March 30, 2022, the Securities and Exchange Commission’s (“SEC”) [...]
11
11, 2021
NASAA Finds Firms are Missing the Mark on Reg BI
When Regulation Best Interest (Reg BI) went into effect in [...]
18
08, 2021
Mid-Year Recap: Top 10 Firm Element Courses
The end of Summer also means that school is just [...]
29
04, 2021
Quest CE Releases Reg BI & Variable Annuities Course
MILWAUKEE – Quest CE, premier provider of compliance training and [...]
19
04, 2021
Four Takeaways from our Exam Priorities Webinar
Joined by Foreside Financial Group’s, Myles Blechner and Ginny Voos, [...]
23
03, 2021
Quest CE Releases Course on Reg BI Compliance
MILWAUKEE – Quest CE, premier provider of compliance training and [...]
5
10, 2020
Quest CE Releases FINRA Course Covering Reg BI
MILWAUKEE – Quest CE, premier provider of compliance training and [...]
16
09, 2020
Quest CE’s Best Selling E-learning Courses in 2020
School is in session! And while many of your kids [...]
