Quest CE News

Find the latest course materials and corporate offerings.

Quest CE Releases Course on Political Contributions

Quest CE today announced the addition of the new course, “FINRA Restrictions on Broker Political Contributions – Vol.2," to its Firm Element e-learning catalog. Read More

Course Released on AML for Investment Advisers

Quest CE today announced the addition of a new course to its e-learning catalog. This course will benefit registered investment advisers (RIAs) as well as broker-dealers who are looking to increase their knowledge on anti-money laundering (AML) protocols.  Read More

Course Released on AML: Beneficial Ownership

Quest CE today announced the addition of the new Firm Element course, “Anti-Money Laundering: Beneficial Ownership," to its e-learning catalog.
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Quest CE Releases FINRA Course on Cybersecurity

Quest CE, today announced the addition of the new FINRA Firm Element course, “Cybersecurity – Supervisors: Understanding Your Role," to its e-learning catalog. Read More

Course Released on Conflicts of Interest and IAs

Quest CE today announced the addition of a new Firm Element and Investment Adviser course to its e-learning catalog. The new course discusses how to effectively manage and disclose Conflicts of Interest. Read More

New Course: Personal Securities Transactions for IAs

Quest CE today announced the addition of a new course to its Firm Element e-learning catalog that is geared towards Broker-Dealers and Investment Advisers. Read More

FINRA Course Released on Compliance Reminders

Quest CE today announced the addition of the new FINRA Firm Element course, “FINRA – Annual Compliance Reminders for Retail Registered Representatives – Vol. 7,” to its e-learning catalog. Read More

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

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

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