Quest CE to Attend 2017 NSCP Conference
Quest CE is excited to announce its upcoming attendance at the 2017 National Society of Compliance Professionals (NSCP) conference in Washington, DC, October 17-18, 2017. Read More
Course Released on Non-Cash Compensation
The course, “Treatment of Non-Cash Compensation,” provides an overview of non-cash compensation and the various rules that are associated with these types of offerings. Read More
Get the Most Out of Your Compliance Reports
Compliance departments need to understand how their representatives are performing by continuously tracking their training progress and making the appropriate adjustments, when necessary. Read More
Quest CE Rolls Out Complete System Redesign
This announcement marks the evolution of its traditional learning management system to an all-in-one compliance management system and represents significant enhancements in usability and functionality. Read More
Compliance Consultant Q&A: Exam Advice for 2016
In a roundtable Q&A, Quest CE sits down with two expert compliance consultants to discuss what exam priorities will have the biggest impact on how they manage risk this year. Read More
Quest CE Introduces Two Courses on Cybersecurity
Quest CE, premier provider of compliance training and tracking technology solutions, today announced the addition of two new Firm Element courses to its e-learning library, “Cybersecurity for Registered Representatives” and “Cybersecurity for Supervisors.” Read More
SEC Announces 2016 Exam Priorities
On January 11, 2016, the Securities and Exchange Commission (SEC) announced its annual list of examination priorities for 2016. Similar to last year’s release, the SEC plans to focus on three thematic areas, which include... Read More
FINRA Releases its 2016 Regulatory and Exam Priorities Letter
On Tuesday, January 5, 2016, the Financial Industry Regulatory Authority (FINRA) released its crystal ball forecast, or 2016 Regulatory and Examination Priorities Letter, describing what the agency plans to focus its enforcement efforts on this year. According to the report, the self-regulatory authority will explore risks associated with... Read More
Making the Fourth Quarter Compliance ‘Comeback’
While the compliance comeback is no easy feat, I’m here to tell you that there’s still time, and by following the below training tips you can have your program up and running before the play clock expires. Read More
Quest CE to Attend the 2015 NSCP National Conference
Quest CE is excited to announce its upcoming attendance at the 2015 National Society of Compliance Professionals (NSCP) conference in National Harbor, Maryland, November 1-4, 2015. Read More
