Quest CE News

Find the latest course materials and corporate offerings.

Quest CE Prepares for FinCEN’s New CDD Rule

Quest CE today announced updates to more than 80 of its Anti-Money Laundering (AML) courses to reflect FinCEN’s new Customer Due-Diligence (CDD) Rule. Read More

Webinar: Complying with New MSRB Requirements

In our upcoming webinar, Quest CE staff will briefly discuss the newly enforced rule, how it compares to FINRA’s Firm Element requirement and best practices to comply. Read More

Quest CE to Attend 2017 SILA Education Conference

Quest CE, premier provider of compliance training and tracking technology solutions, today announced that it will be an exhibiting partner at the upcoming 2017 SILA National Education Conference. This year’s conference takes place September 24 – 27 at the Orlando World Center Marriott in Orlando, Florida.   Read More

[WEBINAR] Investment Advisor Industry Happenings

In this 25-minute webinar, Quest CE Manager of Sales, Jennifer Greene, will shed light on some of the most discussed topics among investment advisors today, as well as provide tips on what firms can do to better prepare for an SEC investigation. Read More

SEC Announces 2016 Exam Priorities

On January 11, 2016, the Securities and Exchange Commission (SEC) announced its annual list of examination priorities for 2016. Similar to last year’s release, the SEC plans to focus on three thematic areas, which include... Read More

FINRA Releases its 2016 Regulatory and Exam Priorities Letter

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

Quest CE Releases Course on Private Securities Transactions

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

Making the Fourth Quarter Compliance ‘Comeback’

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 to Attend the 2015 NSCP National Conference

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

[WEBINAR Q&A] Quest CE to Provide Overview of SILA Conference

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