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Quest CE
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Quest CE

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Could our new Firm Element course be the one you're looking for? Come take a look >> http://bit.ly/2b59bZJ #FINRA #Elearning  
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You're invited to take a behind the scenes tour of our new Policy Attestation Tool! http://bit.ly/2b1ioVO #WSPs #FINRA #policiesandprocedures  
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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).
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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.
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Quest CE celebrates thirty years of innovation, growth and client partnerships! http://bit.ly/2ajdN2g
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This week the SEC charges a Connecticut man with fraud for taking online dating to new extremes. Also being discussed, FINRA’s Financial Capability report.
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Have them in circles
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Quest CE

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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 ...
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[Webinar] Everything You Need to Know About Outside Business Activities and Private Securities Transactions >> http://ow.ly/DfSG3036OMc
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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.
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Invest in a compliance management system that works for, not against you. To learn more, visit >> https://lnkd.in/duZa3pp
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Outside Business Activity or Private Securities Transaction? Do you know the difference?
A CCO from Farmington Hills, Michigan was fined $10000 and suspended from association with any FINRA member in any principal capacity for one month due to the entry of findings that he approved a firm representative's participation in a private offering as an outside business activity, ...
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FINRA proves there are consequences to cheating yourself out of an education.
The representative did not complete the necessary continuing education coursework, yet he received notice that the requirements had been satisfied.
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10850 W Park Pl #1000 Milwaukee, WI 53224
10850 West Park Place #1000USWisconsinMilwaukee53224
(877) 593-3366questce.com
Software CompanyToday 8AM–5PM
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Have them in circles
314 people
Dawn Richardd's profile photo
Goods Order Inventory System-PRO's profile photo
USA TODAY's profile photo
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Best Future Lawyers's profile photo
Elixir Cosmeceuticals's profile photo
Adult Webcam Site Reviews's profile photo
MarketNewsRelease's profile photo
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