Quest CE News

Find the latest course materials and corporate offerings.

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

Quest CE Releases Course on Phishing Awareness

Quest CE today announced the addition of the new Firm Element course, “Phishing Awareness – The Human Factor of Security," to its e-learning catalog. Read More

Quest CE Releases Course on Senior Exploitation

Quest CE, today announced the addition of the new Firm Element course, “Senior Exploitation & Regulatory Concerns," to its e-learning catalog. The course discusses some of the major compliance concerns associated with today's aging population. Read More

Course Released on Retirement Investment Advice

The course, “Investment Advice for a Fee in Retirement Plans,” focuses on Retirement Plan Advisors and their role in assisting companies with choosing and managing their retirement plan offerings. Read More