Quest CE News

Find the latest course materials and corporate offerings.

Quest CE to Attend FINRA’s Small Firms Conference

Quest CE today announced that it will be exhibiting for the first time at the upcoming 2017 FINRA Small Firm Conference in Santa Monica, CA. The annual conference, which runs from November 8-9, 2017, will focus on practices and tips for complying with FINRA rules from the unique perspective of small firms. Read More

FINRA Course Released on the AML Supervisor Role

The course, “AML – Supervisors: Understanding Your Role – Vol. 2,” discusses the obligations that supervisors have to ensure that their firm is in compliance with its AML program. Read More

FINRA Course Released on Compliance Reminders

Quest CE today announced the addition of the new FINRA Firm Element course, “FINRA – Annual Compliance Reminders for Retail Registered Representatives – Vol. 7,” to its e-learning catalog. Read More

Quest CE Announces Agreement with FINRA to Deliver CFP Credits

Quest CE is pleased to announce an agreement with FINRA (Financial Industry Regulatory Authority) to deliver its CFP (Certified Financial Planner) continuing education credits directly through Quest CE’s Compliance Management System, Renaissance. Read More

Quest CE to Attend FINRA’s 2017 Annual Conference

Quest CE today announced that it will be an exhibiting partner at the upcoming 2017 FINRA Annual Education Conference in Washington, DC. Read More

Quest CE Releases FINRA Course on Insider Trading

Quest CE today announced the addition of the new FINRA Firm Element course, “FINRA – Insider Trading: Understanding Your Responsibilities," to its e-learning catalog.
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Webinar: 2017 SEC and FINRA Exam Priorities

In this webinar, Quest CE's senior sales Executive, Jennifer Greene, will outline the SEC and FINRA’s recently released examination letters, discuss what the future of these two organizations looks like under new leadership, and provide strategies for preparing for an onsite investigation. Read More

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

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

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