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
