Quest CE today announced the addition of the new Investment Adviser course, “Privacy and Confidentiality for Investment Advisors,” to its e-learning catalog. Read More

Quest CE today announced the addition of the new Firm Element course, "FINRA and SEC Examination Priorities for 2019," to its e-learning catalog. Read More

Quest CE today announced the addition of the new Investment Adviser course, “Advertising Guidelines for Investment Advisers,” to its e-learning catalog. Read More

Quest CE today announced the addition of the new Investment Advisor course, “Political Contributions and Pay-to-Play for Investment Advisors,” to its e-learning catalog. Read More

Quest CE today announced that it will be exhibiting at the upcoming 2019 Investment Adviser (IAA) Compliance Conference in Washington, D.C.   Read More

The SEC requires that broker-dealers create and maintain certain records so that, among other things, the SEC, self-regulatory organizations, and state securities regulators may conduct effective examinations of broker-dealers. Read More

Quest CE today announced the addition of the new course, “Business Continuity Planning – Vol. 2,” to its e-learning catalog. Read More

As you begin mapping out your annual compliance program this year, it’s important to take FINRA and the SEC’s examination priorities into careful consideration. In this webinar, Quest CE Sales Manager, Jennifer Greene, will summarize the examination priorities letters and offer tips on how to prepare for your next onsite investigation.  Read More

Quest CE today announced the addition of the new anti-money laundering course, “Canada’s Anti-Money Laundering and Anti-Terrorism Financing Regime Updates and Case Studies.” to its e-learning catalog. Read More

Quest CE today announced the addition of the new MSRB course, “Structuring, Pricing, and Executing Municipal Debt Products,” to its e-learning catalog. Read More