Quest CE today announced the addition of the new Firm Element course, "FINRA and SEC Examination Priorities for 2020," to its e-learning catalog. Read More

Quest CE today announced the addition of the new Firm Element course, “Annual AML Update: Review of Regulatory Guidance and Enforcement,” to its e-learning catalog. Read More

Quest CE is pleased to announce that it has been named one of Milwaukee’s Best And Brightest Companies To Work For ® by the National Association For Business Resources (NABR). Only companies that distinguish themselves as having the most innovative and thoughtful human resources approach can be bestowed this honor. Read More

There’s no better way to kick off a new year then by aligning your compliance initiatives with FINRA and the SEC's examination priorities. In this webinar, we’ll summarize each regulator’s focus for 2020 and offer tips on how to prepare for your next onsite investigation. Read More

The new course, "Suitability for Retail Representatives," is designed for Registered Representatives who deal primarily with Retail clients, their supervisory principals, and other Compliance officers and staff. Read More

Quest CE is excited to announce the release of its latest Branch Audit Tool enhancements. Quest CE’s Branch Audit Tool offers automated internal audit workflows that integrate with other Quest CE services so firms can efficiently manage risk and meet the obligations of their branch locations across the nation. Read More

The course, “Financial Exploitation of Senior and Vulnerable Adults,” is designed to help registered representatives understand their responsibilities in protecting senior and vulnerable adult clients from financial exploitation. Read More

Quest CE today announced the addition of the new Firm Element course, "The new course, “California Consumer Privacy Act (CCPA),” to its e-learning catalog. Read More

Quest CE today announced the addition of the new Firm Element course, “Sexual Harassment: Awareness, Perception, and Prevention,” to its e-learning catalog. Read More

Quest CE today announced the addition of the new Firm Element course, “Mergers & Acquisitions: Market Update and Compliance Due Diligence for M&A Professionals," to its e-learning catalog. Read More