It’s the news we all curiously wait for each year: FINRA and the SEC’s annual examination priorities. While regulators are definitely focusing a majority of their attention on reoccurring issues, some interesting areas of uncharted risks were also identified. Read More
Quest CE today announced the addition of the new course, “MSRB Rule G-42: The Fiduciary Duty Rule,” to its e-learning catalog. The course provides a brief overview of the duties and obligations under G-42, disclosure requirements for conflicts of interest and prohibited municipal advisor activities.
Quest CE today announced the addition of the new course, “FINRA Restrictions on Broker Political Contributions – Vol.2," to its Firm Element e-learning catalog. Read More
Quest CE today announced the addition of a new course to its e-learning catalog. This course will benefit registered investment advisers (RIAs) as well as broker-dealers who are looking to increase their knowledge on anti-money laundering (AML) protocols. Read More
Quest CE announces its recognition 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
Quest CE is excited to welcome Tom Wisneski to the Quest CE team. Wisneski will be joining the Information Technology Department as a Software Developer where he will primarily be responsible for maintaining and improving the company’s two proprietary online systems, Renaissance and QuestTrak. Read More