Profile

Cover photo
Verified local business
Quest CE
Software Company
Today 8AM–5PM
314 followers|83,364 views
AboutPostsPhotosYouTube

Stream

Quest CE

Shared publicly  - 
 
Time flies when you're... complying with FINRA regulation?
As difficult as it is to believe, there's only 75 working business days left in the year. Is your compliance department on track to hit all its deadlines?
1
Add a comment...

Quest CE

Shared publicly  - 
 
This #LaborDay, reward yourself with big savings on #Insurance and #Designation CE >> http://bit.ly/2cfKrjy
1
Add a comment...

Quest CE

Shared publicly  - 
 
For the second time this month, the SEC has fined a company for using restrictive whistleblower language.
BlueLinx Holdings, an Atlanta building supply company, will pay a $265000 penalty for trying to discourage departing employees from blowing the whistle on any potential wrongdoing at the firm. According to the SEC's complaint, BlueLinx added the monetary recovery prohibition to all of its ...
1
Add a comment...

Quest CE

Shared publicly  - 
 
You're invited to take a behind the scenes tour of our new Policy Attestation Tool! http://bit.ly/2b1ioVO #WSPs #FINRA #policiesandprocedures  
1
Add a comment...

Quest CE

Shared publicly  - 
 
In this week's video we provide guidance on FINRA's recent regulatory notice. Also being discussed, which state has a cat as its mayor (yes, the meowing kind).
1
Add a comment...

Quest CE

Shared publicly  - 
 
Invest in a compliance management system that works for, not against you. To learn more, visit >> https://lnkd.in/duZa3pp
1
Add a comment...

Quest CE

Shared publicly  - 
 
FINRA found that the representative altered and backdated client notes that supported his recommendation to invest in a variable annuity.
A registered representative from Eden Prairie, Minnesota was fined $50000 and suspended from association with any FINRA member in any capacity for one year based on findings that he altered computer notes of customer contacts after the customer complained about the suitability of a ...
1
Add a comment...

Quest CE

Shared publicly  - 
 
Discover what five changes will affect FINRA Rule 3220, it's $100 Gift Rule and Non-Cash Compensation.
Earlier this month, FINRA issued Regulatory Notice 16-29, which solicits feedback regarding proposed changes to FINRA's gifts, gratuities and non-cash compensation rules. The comment period on these amendments expires September 23, 2016. To better align investor protection with the economic ...
1
Add a comment...

Quest CE

Shared publicly  - 
 
Could our new Firm Element course be the one you're looking for? Come take a look >> http://bit.ly/2b59bZJ #FINRA #Elearning  
1
Add a comment...

Quest CE

Shared publicly  - 
 
[Webinar] Everything You Need to Know About Outside Business Activities and Private Securities Transactions >> http://ow.ly/DfSG3036OMc
1
Add a comment...

Quest CE

Shared publicly  - 
 
Based on the commissions and mark-ups charged per trade, “there was little to no possibility that the customer would profit from such trading.”
FINRA charged a NY-man with securities fraud from churning the account of his customer, a 77-year old blind widow.
1
Add a comment...

Quest CE

Shared publicly  - 
 
Getting your representatives to complete their annual training can be difficult, but it doesn't have to be.
The mantra “if you build it, they will come” doesn’t seem to carry the same weight when being applied to continuing education, especially in compliance.
1
Add a comment...
Contact Information
Map of the business location
10850 W Park Pl #1000 Milwaukee, WI 53224
10850 West Park Place #1000USWisconsinMilwaukee53224
(877) 593-3366questce.com
Software CompanyToday 8AM–5PM
Monday 8AM–5PMTuesday 8AM–5PMWednesday 8AM–5PMThursday 8AM–5PMFriday 8AM–5PMSaturday ClosedSunday Closed
Google+ URL

Street View

Panorama
Write a review
Review Summary
Be the first to review
Photos
Scrapbook photo 2
Scrapbook photo 3
Scrapbook photo 4
Scrapbook photo 5
Scrapbook photo 6
Upload public photo
Your Activity