Quest CE News

Find the latest course materials and corporate offerings.

Fall into Compliance: Program Best Practices

In our upcoming webinar, we’ll share tips for successfully transitioning your annual compliance meeting to a virtual delivery method. We’ll also demonstrate some of the key features of Quest CE’s system, including how to utilize the Email Blast Tool and run important year-end reports. Read More

New Course

Quest CE Adds Five Compliance Meeting Modules

Quest CE today announced the addition of five individual annual compliance meeting (ACM) modules and a new pre-built ACM package. The new modules will discuss some of today’s most relevant topics as identified by FINRA and other industry regulators. Read More

Stay Connected with our Interactive Discussion Board

To comply with FINRA’s requirement, our on-demand ACM solution easily tracks attendance and comes complete with an interactive discussion board that can be accessed at any time throughout the meeting. Read More

Compliance Digest Excerpt: FINRA Fines Decline in 2015

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

FINRA Fines/Suspends 15 Reps for OBA and PST Violations

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

Quest CE Adds Studio Recorded Audio to its ACM Library

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 Offers Two New Annual Compliance Meetings

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 Offers Two New On-Demand ACM Modules

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