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Quest CE
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300 followers
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The “your license is about to expire” notification is more than just a suggestion. Comply with your CE requirements today! https://bit.ly/2GKxBqW
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Move over BrokerCheck – the SEC recently launched an online search feature that intends to help investors make more informed investment decisions and avoid financial fraud.
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This month, we talk about a rep who’s employment was cut short after falsely claiming to be a top retirement strategist. We also cover the latest news from FINRA, including their not-so-popular proposal involving unaffiliated IAs.
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See how failing to disclose conflicts of interest to a client wound up costing this municipal advisor and its firm more than $560,000 in fees.
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FINRA’s new Firm Element course is designed to help operations professionals understand their books and records obligations. https://goo.gl/xSRYYd
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With our CMS, supervisors are notified the second a representative discloses an outside business activity, making it easy to address discrepancies as they arise.
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We’re headed back to Washington D.C. to exhibit at the 2018 Annual FINRA Conference. Stop by booth #28 to visit with staff and pick up some “I Heart Compliance” swag! https://goo.gl/b5T144
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Sometimes, off-the-shelf courses just don’t cut it. That’s why we give you the option to modify our content or create your own from scratch through our course authoring software, Course Builder. https://bit.ly/2I3iUAY
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Our latest course gives an overview of mutual fund classes and discusses some of the conflicts of interests associated with fund class selection.
https://goo.gl/qvRPtx
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Isn’t it time you recycle that old clunky binder and bring your branch audit solution online? https://bit.ly/2FHkXIX
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