Quest CE today announced the addition of the new Firm Element course, “Financial Exploitation of Specified Adults & Customer Account Information (FINRA Rules 2165 & 4512)," to its e-learning catalog. Read More

Quest CE, today announced the addition of the new Firm Element course, “Senior Exploitation & Regulatory Concerns," to its e-learning catalog. The course discusses some of the major compliance concerns associated with today's aging population. Read More

In this webinar, we’ll discuss senior financial exploitation and the associated regulatory concerns. More specifically, we’ll discuss a survey conducted by the NASAA which focuses on broker-dealer’s practices and procedures in relation to senior investors. Read More