Quest CE today announced the roll-out of its new online Continuing Professional Education (CPE) course catalog. This catalog addition comes as Quest CE was recently named a Quality Assurance Services (QAS) provider by the National Association of State Boards of Accountancy (NASBA). Read More
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