Quest CE News

Find the latest course materials and corporate offerings.

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FINRA’s Top Five Exam Priorities in 2017

Earlier this month, FINRA published its Annual Regulatory and Examinations Letter. The letter provides helpful insight into current priorities and trending business or regulatory issues that FINRA has developed based on observations from their regulatory programs, as well as input from various stakeholders, including investor advocates, member firms and other regulators. Read More

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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 Offers Course on Disclosure/Complaint Filing

The course, “FINRA Rule 4530 – Disclosure and Complaint Filings” provides an overview of FINRA Rule 4530 regarding the disclosure and filing requirements for customer complaints. Read More

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Quest CE Releases Course on MSRB Rules & Risks

The course, “MSRB Rules and Risks” provides registered representatives with a better understanding of the rules and regulation that surround the municipal securities market. Read More

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Quest CE Releases Course on Fee Selection

The introductory-level course, “Fee Selection and Reverse Churning” looks at the considerations that should enter into a recommendation for a fee-based account arrangement. 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 Brokercheck Provision

The course, “FINRA Rule 2210: The BrokerCheck Amendment” outlines how to comply with FINRA’s recent BrokerCheck link requirement. Effective June 6, 2016, firms will need to include a readily apparent reference and hyperlink to BrokerCheck on the initial Web page to be viewed by retail investors, and any other Web page that includes a professional profile of one or more registered persons, who conduct business with retail investors. Read More

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CE Council Issues Firm Element Advisory Update

The Securities Industry/Regulatory Council on Continuing Education (Council) has released its Q3 Firm Element Advisory (FEA). In the report, the Council identifies regulatory and sales practice topics that firms should consider in their Firm Element training plans. 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 Communication Rules

The course, “Communications with the Public for Registered Representatives” provides an overview of the 2200-series of rules for Communications with the Public. Read More