The course, “Investment Advisors: Communication Compliance - SEC,” provides advisors with extensive information about how to properly advertise to the public while assuring compliance with the SEC’s communication rules. Read More

Quest CE today announced the addition of the new Firm Element course, "Net Unrealized Appreciation," to its e-learning catalog. The course, “Net Unrealized Appreciation,” examines the potential benefits and regulatory requirements that are associated with NUA tax treatments. Read More

Quest CE today announced the addition of the new Firm Element course, “Supervising Alternative Investments," to its e-learning catalog.
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Quest CE today announced the addition of a new Firm Element course to its e-learning catalog. The course, “SEC Rule 15c2-12,” discusses how this rule and its is designed to provide enhanced information to municipal securities investors by further regulating those who underwrite or sell such municipal securities. Read More

Quest CE today announced the addition of three new Firm Element courses to its e-learning library. These courses focus on the Department of Labor’s Conflict of Interest Rule, commonly known as the Fiduciary Rule, and place major emphasis on the Best Interest Contract Exemption (BICE). Read More

Quest CE, today announced the addition of a new Anti-Money Laundering course to its e-learning catalog. Read More

Quest CE today announced its partnership with the CFA (Chartered Financial Analyst) Institute to offer an online curriculum for its CFA designation program. Read More

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

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

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