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Quest CE today announced the addition of the new Firm Element course, “Mutual Fund Suitability Under FINRA and SEC Rules,” to its e-learning catalog. Read More

Quest CE today announced the addition of the new Firm Element course, “Cybersecurity: Modern Regulatory Resources and Case Studies,” to its e-learning catalog. Read More

Quest CE today announced the addition of the new Firm Element course, “The SEC's New Marketing Rule: Updated Guidance for Investment Advisors,” to its e-learning catalog. Read More

Quest CE today announced the addition of the new Firm Element course, “Compliance Issues for Fixed Income Securities Including Structured Notes,” to its e-learning catalog Read More

Quest CE today announced the addition of the new Firm Element course, “Reg BI Considerations for Variable Annuity Recommendations,” to its e-learning catalog. Read More

Quest CE today announced the addition of the new Firm Element course, “FINRA and SEC Examination Priorities for 2021,” to its e-learning catalog. Read More

Quest CE today announced the addition of the new Firm Element course, “AML Focus on Politically Exposed Persons and Senior Foreign Political Figures,” to its e-learning catalog. Read More

Quest CE today announced the addition of the new Firm Element course, “2020 AML Updates: COVID-19 Risks, Legislative Updates, and Enforcement Actions,” to its e-learning catalog. Read More

FINRA's course is designed to help securities industry professionals understand information barriers as they relate to the safeguarding of material nonpublic information (MNPI) and the prevention of insider trading. Read More