We help #financial service organizations manage their #compliance operations with #FirmElement training, #disclosure tracking & branch #audit solutions.
Milwaukee, WI
Joined October 2009
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Quest CE retweeted
A special thank you to #volunteers from @RegalRexnord, @JPCullen1892, @MilwaukeeTool, @QuestCE, Corporate Design Interiors, @YWmissions, GLCCC, @AssociatedBank, @usbank, @MolsonCoors, @UWCreditUnion, PFERD, @PyraMaxBank and @JohnsonControls who helped out at #TheFarm this month! – at Franklin, WI
Quest CE retweeted
Jennifer Selliers from Renaissance Regulatory Services will be speaking at @QuestCE's "Preparing for FINRA and the SEC’s 2023 Exam Priorities" webinar on May 14th! We'll see you there virtually!
linkedin.com/company/renaiss…
In this upcoming webinar, Quest CE will be joined by two industry professionals to discuss their biggest takeaways from #FINRA and the #SEC's recently released #exampriorities for the year. Learn more and reserve your spot here 👉 bit.ly/3H2tSqN
Quest CE retweeted
Stop by the #IAAComCon exibit hall to meet @ACACompliance, Backstop Solutions, @BatesGroup, @Broadridge, @Comply_Org, @CoreCLS, DFP Partners, LRM Group, @mirrorweb, Optima, @orionwealthtech, @QuestCE, @redoaksoftware, @RRSNewsNow, @SSCAdvent, & @StarCompliance
Quest CE retweeted
Today we charged Ernst & Young for cheating by its audit professionals on exams required to obtain and maintain CPA licenses and for withholding evidence of this misconduct during the SEC’s investigation of the matter.
Quest CE retweeted
BNY Mellon Investment Adviser has agreed to pay a $1.5 million penalty for misstatements and omissions about ESG considerations in making investment decisions for certain mutual funds it managed.
Quest CE retweeted
"Content, record keeping and supervision. Those are the three pillars of the FINRA Finfluencer sweep," said Lisa Colone, @FINRA Enforcement, during the Social Media and Rise of the Finfluencer panel at #FINRAAC.
#FINRAConnect ▶️ finra.org/2022annual
Quest CE retweeted
When considering an investment opportunity, be cautious if you spot any of these red flags:
🚩 “Guaranteed” high investment returns
🚩 Unlicensed/unregistered sellers
🚩 Skyrocketing account values
🚩 Sounds too good to be true
🚩 Fake Testimonials
investor.gov/introduction-in…
Quest CE retweeted
1 in 44 seniors report when they've been scammed. This number is due to embarrassment and because they don't know where to report their case. If you need help, you can call the FINRA Securities Helpline for Seniors ☎️ bit.ly/2Q4rWpT
Quest CE retweeted
It’s never a good idea to invest in something just because someone famous says it’s a good idea.
go.usa.gov/x6dYT
Quest CE retweeted
Today we announced awards of more than $4 million to four whistleblowers who provided information and assistance in two separate enforcement proceedings.
Learn more:
ow.ly/3F1q30rPLAi
Quest CE retweeted
🚨Investor Alert🚨
Beware of fraudsters pretending to be registered brokers or investment advisers to lure you into a scam.
SEC's Office of Investor Ed & Advocacy @SEC_Investor_Ed & the @FBI's Criminal Investigative Division put out an alert.
Read 👇
investor.gov/introduction-in…
Quest CE retweeted
Today we announced an award of nearly $3 million to a whistleblower whose information and assistance led to a successful SEC enforcement action.
Learn more about the award and about our whistleblower program. 👇
ow.ly/2jgk50FAWTI
Quest CE retweeted
We're looking for your input on proposed rules and want to know what information is important to you, the investor. Please review some of our feedback opportunities and let us know what you think. sec.gov/tell-us
Quest CE retweeted
We recently issued an investor alert on the risks of short-term trading based on social media. Here it is, icymi: ow.ly/5AKU50DuAVY
Quest CE retweeted
ALERT: We have been informed of firms receiving phishing emails from the domain "@ broker-finra.org." Please note that this domain is NOT associated with FINRA and firms should delete emails originating from this domain.
Quest CE retweeted
Prometric will resume testing for CPA candidates beginning May 1 at centers where government regulations and guidelines allow. Click here for more information: bit.ly/33oREbs
Quest CE retweeted
Just in: Regulatory Notice 20-01: We're issuing this Notice to help firms review, reconcile and respond to their Final Statements in E-Bill as well as view the reports that are currently available in Web CRD/IARD for the annual registration renewal process bit.ly/2QE4MDR
Quest CE retweeted
Our Enforcement Division returned $1.2 billion to harmed investors last year. More on how they did it: ow.ly/Ul8h50x69Lk
Quest CE retweeted
“It’s important for AML to have a seat at the table. A good way to get invited to the table is to invite others to your table. We invite technology, cyber security and others to our meetings and that’s led to invitations to theirs.” - Jim Fiebelkorn, @ameriprise #FinraAC