Quest CE News

Find the latest course materials and corporate offerings.

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

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

Fortune Names Quest CE One of the 100 Best Workplaces for Women

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

Compliance Digest Excerpt: FINRA Fines Decline in 2015

While FINRA fines have steadily increased over the past few years, it appears that tradition is set to expire. Read More

Quest CE Receives 2015 GRC Innovation Award

Quest CE, premier provider of compliance training and tracking technology solutions, today announced that its Branch Audit Management Platform has been honored with a 2015 GRC Innovation Award in the User Interface and Experience Category by GRC analyst firm GRC 20/20. Read More

Quest CE to Attend SILA’s 2015 National Education Conference

Quest CE is pleased to announce that it will be an exhibiting partner at the 2015 SILA National Education Conference. Read More

Quest CE Now Offers Texas Classroom Equivalent CE

Quest CE today announced the release of its highly anticipated Texas Classroom Equivalent course, “Ethically Planning for Life and Death.” Read More

[Webinar] Seven Safety Measures When Working with Senior Investors

As regulators continue to narrow in on protecting senior investors, broker-dealers, now more than ever, need to focus on how their compliance programs are set-up to cater to today’s ‘graying’ American population. As many firms are quickly beginning to realize, failing to implement such safeguards can lead to serious issues regarding suitability and disclosure. Read More