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Quest CE
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313 followers
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Quest CE's posts

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Proud to celebrate our third consecutive year as one of Milwaukee's Best and Brightest Companies to Work For! #101BB
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The key to surviving a FINRA or SEC audit is preparation. Join us February 15, 2017 at 10AM as we discuss which areas of risk your firm needs to focus on this year.

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Find out what questions the DOL thinks investors should be asking their advisors.

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The SEC recently released its annual exam priorities for the year, adding FINRA to the list.

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Interested in seeing how this year's exam priority letter stacked up to 2016 and 2015? We've identified the commonalities and differences.

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Keep your senior staff and supervisors up-to-date on key provisions surrounding whistleblower compliance. #FirmElement #ELearning

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You heard it here first, Quest CE is on the move! http://bit.ly/2j50jYa
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Are you an accounting wiz that loves working with numbers AND great people? Let's talk! Apply for our open position today. #MKEjobs http://bit.ly/2hNMdKy
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FINRA underlines the importance of training through recent disciplinary action. 

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The SEC plans to examine "the design and effectiveness of advisers’ compliance programs with respect to their oversight of advisory services provided at remote locations."
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