Quest CE News

Find the latest course materials and corporate offerings.

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Question of the Week: How To Read A Prospectus

Test your industry knowledge by answering Quest CE’s exam question of the week!

Exam questions are drawn directly from Quest CE’s exam portal, and feature a wide range of topics including suitability, ethics, regulation and anti-money laundering. Read More

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SEC to Focus on Robo-Advisors and FINRA in 2017

The SEC announced its Office of Compliance Inspections and Examinations’ (OCIE) 2017 priorities last Thursday. New areas of focus include electronic investment advice, money market funds, FINRA and financial exploitation of senior investors. Read More

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FINRA’s Top Five Exam Priorities in 2017

Earlier this month, FINRA published its Annual Regulatory and Examinations Letter. The letter provides helpful insight into current priorities and trending business or regulatory issues that FINRA has developed based on observations from their regulatory programs, as well as input from various stakeholders, including investor advocates, member firms and other regulators. Read More

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Quest CE Promotes Adam Zaspel to Sales Executive

Quest CE announced today the promotion of Adam Zaspel to Sales Executive. Zaspel comes to the sales team with an extensive background of Quest CE’s products and services from his time spent working for the company’s content and online customer support teams. Read More

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Quest CE Named a “Best and Brightest” Company

For the third consecutive year, Quest CE has been recognized as one of Milwaukee’s Best and Brightest Companies to Work For®. Presented by the National Association for Business Resources (NABR), this award recognizes companies that have generated a creative culture and use innovative practices to motivate employees. Read More

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Quest CE Offers Course on Whistleblower Compliance

The course, “Whistleblower Rule Compliance” provides background of the SEC’s Whistleblower Incentive Program, highlights recently enforced disciplinary and retaliation cases and provides recommendations for preventing non-compliance with SEC Rule 21F-17. Read More

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Quest CE Promotes Erica Larson to Account Executive

Quest CE announced today the promotion of Erica Larson to the position of Client Account Executive. Larson takes on this role after serving on the Third Party Administration (TPA) team as a Client Services Specialist Read More

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Quest CE Announces New Office Location

Quest CE announced today that it will be relocating its office to the Milwaukee Research Park in June of 2017. The new office is nine miles south of the current location. For Quest CE, this new space will allow for greater employee growth and collaboration across teams. Read More

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Quest CE Promotes Jennifer Greene to Sales Manager

Quest CE announced today the promotion of Jennifer Greene to the position of Sales Manager. Greene brings with her over a decade of experience in the financial services industry and was recently named Quest CE’s Sales Person of the Year. Read More

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Exam Question of the Week: Alternative Mutual Funds

Test your industry knowledge by answering Quest CE’s exam question of the week!

Exam questions are drawn directly from Quest CE’s exam portal, and feature a wide range of topics including suitability, ethics, regulation and anti-money laundering. Read More