Quest CE News

Find the latest course materials and corporate offerings.

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Quest CE Offers Course on Whistleblower Compliance

The course, “Whistleblower Rule Compliance” provides background of the SEC’s Whistleblower Incentive Program, highlights recently enforced disciplinary and retaliation cases and provides recommendations for preventing non-compliance with SEC Rule 21F-17. Read More

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Quest CE Releases Course on Primary Bond Market

This introductory-level course, “Fixed Rate Primary Market Offerings” provides intricate background on the roles and responsibilities of market participants in fixed rate primary market offerings. Read More

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Quest CE Releases Course on Reverse Churning

The course, “Fee Selection and Reverse Churning” provides a brief overview of reverse churning before focusing on the distinguishing characteristics of commission-based and fee-based accounts. Read More

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Quest CE Releases Course on Mergers/Acquisitions

The course, “Mergers & Acquisitions for Investment Bankers” was developed for those with a basic knowledge of mergers and acquisitions (i.e., key terms and definitions, incentives for buying and selling). Read More

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Quest CE Releases Course on SEC Rule 15c2-12

The course, “SEC Rule 15c2-12 – Municipalities Continuing Disclosure Cooperation Initiative” will discuss the Securities and Exchange Commission (“SEC”) Rule 15c2-12 on municipal securities disclosure and its program to resolve outstanding disclosure violations: the Municipalities Continuing Disclosure Cooperation Initiative (“MCDC”). Read More

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Quest CE Updates 2016 Firm Element Course Catalog

The newly released catalog, available online at www.questce.com/course-catalogs, features a comprehensive list of all the Firm Element courses that have been authored by Quest CE since its initial publication back in January. Read More

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New Course on the DOL’s Fiduciary Rule

This course teaches advisors, broker-dealers and other affected financial professionals how to navigate and prepare for the anticipated regulatory changes. Read More

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FINRA and SEC Exam Priorities Course Now Available

The course starts out with a review of some of the top securities violations from 2015 and later provides guidance on FINRA and the SEC's 2016 examination priorities letters, highlighting overlapping concepts. It also looks at some of the top super-sized fines from this past year and discusses strategies for building a sustainable culture of compliance. Read More

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Identifying Conflicts of Interest Course Now Available

The course, “Identifying and Mitigating Conflicts of Interest” provides financial professionals with insight on how to identify and mitigate potential conflicts of interest that may be associated with their business activities. The course also outlines different types of conflicts of interest, why it’s important to disclosure such activities and methods for prevention. Read More

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Quest CE Releases Course on OBA/PST Disclosures

The course, “Outside Business Activities and Private Securities Transactions Vol. 2” provides an overview of the restrictions and disclosure requirements surrounding registered representative's business activities and private securities transactions. Read More