Quest CE News

Find the latest course materials and corporate offerings.

New FINRA Enforcement Actions Course Released

Quest CE today announced the addition of the new Firm Element course, “Corporate Culture and Supervision- FINRA Enforcement Actions," to its e-learning catalog. Read More

Quest CE Releases Course on FINRA Rule 3160

Quest CE today announced the addition of the new Firm Element course, “FINRA Rule 3160 – Networking Arrangements with Members and Financial Institutions," to its e-learning catalog.  Read More

Quest CE Releases New Course on Cryptocurrency

Along with enormous potential and extraordinary market volatility, cryptocurrency comes with the threat of abuses and criminal activity. Read More

Quest CE Releases Course on TRACE Reporting

The course, “TRACE Reporting,” was developed to meet the requirements of broker-dealers and its members to record secondary-market transactions in Treasury securities to FINRA’s Trade Reporting and Compliance Engine known as TRACE. Read More

Quest CE Releases Course on Financial Exploitation

Quest CE today announced the addition of the new Firm Element course, “Financial Exploitation of Specified Adults & Customer Account Information (FINRA Rules 2165 & 4512)," to its e-learning catalog. Read More

Quest CE Releases Course on Millennial Investors

Quest CE today announced the addition of a new Firm Element course to its e-learning catalog. The course, “How to Work with Millennial Investors,” provides a basic overview of millennial investors and offers insight on how to work with this booming population. 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

Quest CE Releases Course on Back Office Operations

The course, “Back Office Functions and Operations,” focuses on the back office processes and the qualifications required by the individuals who contribute to, or perform these functions. Read More

Quest CE Releases Two New DOL Courses

Quest CE today announced the addition of two new Firm Element courses to its e-learning catalog. The course, “Department of Labor Fiduciary Rule: Eliminating Conflicts of Interest,” focuses on the DOL Fiduciary Rule and its effort to eliminate conflicts of interest in retirement investing. Read More

Course Released on Exemptions Under the DOL Rule

Quest CE today announced the addition of a new Firm Element course to its e-learning catalog. The course, “Available Exemptions Under the DOL Rule,” examines the exemptions that were amended or added under the DOL fiduciary rule. Read More