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.
On Tuesday, January 5, 2016, the Financial Industry Regulatory Authority (FINRA) released its crystal ball forecast, or 2016 Regulatory and Examination Priorities Letter, describing what the agency plans to focus its enforcement efforts on this year. According to the report, the self-regulatory authority will explore risks associated with... Read More
Authored by FINRA, the course “FINRA – Private Securities Transactions” covers rules and regulations governing the treatment of private securities transactions, and reviews obligations for registered representatives. Scenarios are presented to help registered representatives identify private securities transactions and the appropriate actions to take before engaging in them. Read More
Quest CE is excited to announce its upcoming attendance at the 2015 National Society of Compliance Professionals (NSCP) conference in National Harbor, Maryland, November 1-4, 2015. Read More
Quest CE will offer a comprehensive overview of the 2015 Securities Insurance and Licensing Association’s conference being held this week in Nashville, Tennessee. 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