Quest CE News

Find the latest course materials and corporate offerings.

New Course

Quest CE Releases Course on SEC Reg BI Guidance

Quest CE today announced the addition of the new Firm Element course, “SEC Regulation Best Interest FAQs, Guidance and Exam Preparedness,” to its e-learning catalog. Read More

New Course

Social Media Guidance for Financial Professionals

Quest CE today announced the addition of the new Firm Element course, “Social Media for Financial Professionals: Creating Compelling and Complaint Content,” to its e-learning catalog. Read More

Tips to ‘Spring Clean’ Your 2020 Compliance Program

In our upcoming webinar, Quest CE’s Account Executive Manager, MacKenzie Nold, will walk through some helpful best practices to take stock of your current account and make any necessary changes, before rolling out your 2020 program. Read More

Quest CE Offers Free Security Training/Support

With COVID-19 restricting many employees to work from home, Quest CE is announcing that its newly published Firm Element course, “Security Best Practices for Remote Workers Amid COVID-19” will be available for free to any firm looking to educate their employees on how to maintain strong security practices while working outside of the office. Read More

Fall into Compliance: Program Wrap-Up Tips

In this webinar, Quest CE’s Account Executive Manager, MacKenzie Nold, will discuss reporting fundamentals, tips to target any end-of-year account procrastinators and best practices for addressing those attention-needing flagged responses in the system. Read More

[WEBINAR] ‘Spring Clean’ Your Compliance Program

Spring is the perfect time to freshen up your Quest CE account - especially if you’re preparing to roll-out your internal training program in Q2/Q3. That’s why we're hosting a special webinar to share “tips and tricks” to help launch your 2019 training program with confidence. Read More

New Course

Quest CE Releases Course on Books and Records

The SEC requires that broker-dealers create and maintain certain records so that, among other things, the SEC, self-regulatory organizations, and state securities regulators may conduct effective examinations of broker-dealers. Read More

New Course

New Course Discusses Business Continuity Planning

Quest CE today announced the addition of the new course, “Business Continuity Planning – Vol. 2,” to its e-learning catalog. Read More

New Course

Quest CE Releases Course on Social Media for IAs

Quest CE today announced the addition of the new Investment Advisor course, "Social Media for Investment Advisors," to its e-learning catalog. Read More

New Course

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