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

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

Quest CE is excited to announce its upcoming attendance at the 2016 National Society of Compliance Professionals (NSCP) conference in Washington, DC, October 17-19, 2016. Read More

FINRA imposed record sanctions in 2015, ordering firms to pay significantly more in restitution and expelling more firms than the year prior, according to Sutherland’s annual report. Read More

In this 45-minute webinar, we’ll spotlight both FINRA and the SEC’s top examination priorities for the year, highlight overlapping principles, provide strategies for building a culture of compliance and showcase upcoming trends. Please join the discussion Wednesday, March 16th at 10am or 2pm.
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Cybersecurity is one of the most significant issues facing the financial services sector. Each day, the volume and level of sophistication of security incidents continues to rise. As a result, it’s important that financial institutions enhance and refocus their efforts to address cyber risk. Read More

While the compliance comeback is no easy feat, I’m here to tell you that there’s still time, and by following the below training tips you can have your program up and running before the play clock expires. Read More

Quest CE is honored to announce that after surveying more than 135,600 female employees, Great Place to Work® and Fortune have recognized Quest CE as one of the 100 Best Workplaces for Women in 2015, ranking #20 overall. Read More