New FINRA Enforcement Actions Course Released
Quest CE today announced the addition of the new Firm Element course, “Corporate Culture and Supervision- FINRA Enforcement Actions," to its e-learning catalog. Read More
[WEBINAR] Training: Beyond Checking the Box
In our upcoming webinar, Quest CE staff will discuss how the right training plan can greatly enhance learning retention and facilitate a culture of compliance at your firm. Read More
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
Quest CE Releases New Course on Cryptocurrency
Along with enormous potential and extraordinary market volatility, cryptocurrency comes with the threat of abuses and criminal activity. Read More
New Course Available on Net Unrealized Appreciation
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 Releases Course on Alternative Investments
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 Releases Course on SEC Rule 15c2-12
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 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
Sutherland Reveals Increased Sanctions in 2015
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
WEBINAR: 2016 FINRA and SEC Exam Priorities
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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