In our upcoming webinar, Quest CE staff will explain the effect that the CDD rule will have on firms and offer tips on how to comply with its requirements. Additionally, we’ll clarify who is affected by this rule and provide examples of enforcement actions that encouraged FinCEN to draft this new regulation. Join the discussion May 2, 2018 at 1PM CST. Read More

Quest CE today announced the addition of the new Firm Element course, “Mark-ups on Fixed Income Securities," to its e-learning catalog. Read More

Quest CE today announced updates to more than 80 of its Anti-Money Laundering (AML) courses to reflect FinCEN’s new Customer Due-Diligence (CDD) Rule. Read More

Quest CE today announced the addition of the new Firm Element course, “Corporate Culture and Supervision- FINRA Enforcement Actions," to its e-learning catalog. Read More

In our upcoming webinar, Quest CE staff will discuss how the right training plan can greatly enhance learning retention and facilitate a culture of compliance at your firm. Read More

Quest CE today announced the addition of the new course, “FINRA and SEC Examination Priorities for 2018,” to its Firm Element e-learning catalog. Read More

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

Quest CE today announced the addition of the new Firm Element course, “FINRA Rule 3160 – Networking Arrangements with Members and Financial Institutions," to its e-learning catalog.  Read More

Quest CE today announced the addition of the new FINRA Firm Element course, "FINRA – Variable Annuities: Suitability Determinations for Exchange," to its e-learning catalog. 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