While FINRA fines have steadily increased over the past few years, it appears that tradition is set to expire. Read More

According to this month's FINRA Disciplinary Actions Notice, a total of 15 individuals were fined/suspended for violations related to Outside Business Activities (OBA) and/or Private Securities Transactions (PST). This themed abuse made up 31% of the cases taken against individuals in the September Notice. Read More

With conflicting schedules, dispersed branch locations, and budget limitations, more and more firms are embracing on-demand technology to enhance the effectiveness of their Annual Compliance Meetings. Read More

In response to client and industry feedback, Quest CE, premier provider of insurance continuing education and FINRA firm element training, is pleased to announce the transition of its Annual Compliance Meeting (ACM) Course Library to live, studio recorded audio, removing the monotone and inconsistent delivery of even the best text-to-speech software. Read More

Quest CE announced today the addition of two new Annual Compliance Meeting modules to its 2014 e-learning library. The modules, “FINRA Hot Topics” and “Information Security” are pre-built for ease-of-use and currently available to clients using both Quest CE’s Managed and Express Firm Element Training solution. Read More

Quest CE today announced the release of its 2014 Annual Compliance Meeting (ACM) Catalog. Featuring the industry’s largest selection of on-demand Annual Compliance Meeting modules, Quest CE's diverse course library ensures that firms are able to develop a custom training program based on the collective needs of each representative. Read More

Quest CE is excited to announce its upcoming attendance at the National Society of Compliance Professional’s (NSCP) National Membership Meeting in Washington, DC, October 21-23. Read More

Quest CE today announced the addition of two course modules to its 2013 Annual Compliance Meeting e-learning library. Read More

Quest CE is pleased to announce the addition of a new, on-demand Annual Compliance Meeting (ACM) module to its e-learning library. Read More