Quest CE today announced the addition of a new Firm Element and Investment Adviser course to its e-learning catalog. The new course discusses how to effectively manage and disclose Conflicts of Interest. Read More

The course, “Fee Selection and Reverse Churning” provides a brief overview of reverse churning before focusing on the distinguishing characteristics of commission-based and fee-based accounts. Read More

In this webinar, Quest CE’s Senior Sales Executive Jennifer Greene will clarify the important differences between outside business activities and private securities transactions, provide tips on how to successfully manage and mitigate potential conflicts and interest, as well as outline several case studies involving FINRA disciplinary actions. Join the discussion Tuesday, August 16th at 10am or 2pm CST. Read More

Authored by FINRA, the course, “Conflicts of Interest” highlights conflicts of interests that could arise between registered representatives, clients and firms in the securities industry. Read More