Are you Doing This One Thing on your Form CRS?
The Securities and Exchange Commission (SEC) has released updated frequently [...]
19
10, 2020
17
08, 2020
SEC Highlights Risks to Firms Due to COVID-19
The SEC’s Office of Compliance and Inspections and Examinations (OCIE), [...]
15
07, 2020
SEC Releases Alert on Ransomware Attacks
The Securities and Exchange Commission’s (SEC) exam division is warning [...]
29
06, 2020
Quest CE Releases Course on SEC Reg BI Guidance
MILWAUKEE – Quest CE, premier provider of compliance training and [...]
24
02, 2020
FINRA & SEC 2020 Exam Priorities Course Released
MILWAUKEE – Quest CE, premier provider of compliance training and [...]
17
01, 2020
FINRA & SEC Exam Priority-Inspired Course Options
With the recent publication of the SEC and FINRA examination [...]
27
08, 2019
Quest CE Releases Regulation Best Interest Course
MILWAUKEE – Quest CE, premier provider of compliance training and [...]
