Quest CE Releases Course on Reverse Churning
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
Webinar: Reviewing & Monitoring OBAs and PSTs
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
Quest CE Releases FINRA Course on Conflicts of Interest
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
