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Quest CE

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SEC Chairwoman, Mary Jo White, addressed the Practicing Law Institute in DC last week, where she discussed highlights from the past year and priorities for the future. 
New! Shuffled CARDS & FINRA's Vanguard This week's Naughty List features broker selfies! Alex also discusses the criticism of CARDS, FINRA's new analytics guru, and a Canadian office raided for insider trading. Question, Alternative Investments: Now Part of Mainstream Investing ...
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Do you think the SEC commissioner’s criticisms of CARDS will bring about any changes to the proposal?
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[WHITEPAPER] Find out how wholesalers are leveraging the power of "value-add" continuing education to build stronger, lasting relationships with the advisors they work with. http://bit.ly/16Yqidx
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Do you think the industry is well prepared in regards to cyber security?
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Risk is always lurking. Quest CE can help you stay compliant without a shadow of a doubt (...see what we did there?). #HappyGroundhogDay #Sixmoreweeksofwinter 
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Compliance lesson of the day: 

1.) Don't tamper with documents. 
2.) Don't present tampered documents to audit staff.
FINRA's New Rule and SEC Priorities This week, Alex discusses the SEC and FINRA's 2015 priorities, new FINRA Rule 3110(e) and FINRA's stance on alternative investing. Question · Exam Question of the Week: Anti-Money Laundering Answer this week's question and check back Thursday for the correct ...
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Do you think the new Background Investigation Rule is a good thing for the industry?
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Have them in circles
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Do you know what FINRA's top enforcement categories were in 2014? http://bit.ly/1GpXMxG #FINRA #Enforcement #DisciplinaryActions #Compliance #FinServ 
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Culture is extremely important to us, which makes delivering this news that much sweeter! So, without further ado, we’d like to announce that Quest CE has been named one of the country's best employers, ranking #1 on the Great Rated! People's Picks: 20 Great Workplaces in Financial Services in the Small/Medium Business category.
Quest CE offers Insurance Continuing Education and FINRA Firm Element Training to the financial services industry. In addition, Quest CE is the largest Providership Administration organization for Insurance Carriers in the Nation. Quest CE provides a single source solution for organizations continuing education and compliance training needs.
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If you'd rather watch your news than read it, check out this week's all-new, very funny "That's the Facts of Life" video where we discuss Wall Street, cybersecurity and the NFL. 
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In recognition of ‘I Heart Compliance’ month, Quest CE is offering several ‘sweet deals’ throughout the month of February >> http://bit.ly/1z7QMzs
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WEBINAR | The key to surviving a FINRA or SEC examination is preparation. This webinar will discuss the two regulators’ 2015 exam priorities, as well as provide strategies for preparing for an investigation. http://bit.ly/1zNaNSW #FINRA   #SEC  #ExamPriorities
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10850 W Park Pl #1000 Milwaukee, WI 53224, United States
10850 West Park Place #1000USWisconsinMilwaukee53224
(877) 593-3366questce.com
Insurance School
Since 1986, Quest CE has built a reputation of being the premier provider of Compliance Education to the financial services industry. In addition to offering Providership Administration and insurance continuing education (CE) for professionals holding insurance licenses and professional designations like the CFP, CPA, CLE, CIMA and CLU/ChFC designations, Quest CE also provides a complete spectrum of compliance training solutions including the Financial Industry Regulatory Authority (FINRA) annually required Firm Element Training and Annual Tracking for registered representatives.
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Have them in circles
284 people
Pego Mass5's profile photo
RKB Insurance Solutions's profile photo
Addison Gardner-Allstate Insurance Agent's profile photo
Weebit's profile photo
Thomas -Tosch- Schillinger's profile photo
JW Barry Business Services's profile photo
Eyewitness News ABC7NY's profile photo
Easy markets's profile photo
Catalina Oneil's profile photo
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