Quest CE News

Find the latest course materials and corporate offerings.

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FINRA’s Top Five Exam Priorities in 2017

Earlier this month, FINRA published its Annual Regulatory and Examinations Letter. The letter provides helpful insight into current priorities and trending business or regulatory issues that FINRA has developed based on observations from their regulatory programs, as well as input from various stakeholders, including investor advocates, member firms and other regulators. Read More

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Quest CE Releases Course on Communication Rules

The course, “Communications with the Public for Registered Representatives” provides an overview of the 2200-series of rules for Communications with the Public. Read More

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Quest CE Releases Course on Volcker Rule

The course, “The Volcker Rule” provides an overview of the history and implementation of section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Read More

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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

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Quest CE to Attend FINRA’s 2016 Annual Conference

From May 22-25, Quest CE will join more than 1,400 compliance professionals, regulators and industry peers to discuss today's most timely compliance and regulatory topics. Read More

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Sutherland Reveals Increased Sanctions in 2015

FINRA imposed record sanctions in 2015, ordering firms to pay significantly more in restitution and expelling more firms than the year prior, according to Sutherland’s annual report. Read More

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WEBINAR: 2016 FINRA and SEC Exam Priorities

In this 45-minute webinar, we’ll spotlight both FINRA and the SEC’s top examination priorities for the year, highlight overlapping principles, provide strategies for building a culture of compliance and showcase upcoming trends. Please join the discussion Wednesday, March 16th at 10am or 2pm.
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Quest CE Releases Course on Microcap Securities Fraud

The course, “Microcap Securities Fraud” was developed to address the ongoing concern of microcap securities fraud. Microcap securities are already subject to volatility and risk. Read More

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Quest CE Releases Firm Element Course on MSRB Rule G-3

The course, “MSRB Rule G-3” begins with an overview of the two new classifications created when the MSRB revised Rule G-3 to meet the requirements of the Dodd-Frank Wall Street Reform and Consumer Protection Act. From there, the course covers basic knowledge of the internal workings, qualifications, and required continuing education of the municipal advisory system. Read More

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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