Quest CE’s on-demand Annual Compliance Meetings provide an innovative, online approach to complying with FINRA Rule 3010. Each training module features interactive page flips, attendee attestation, detailed completion reports and a live discussion board to ensure representatives are actively engaged with the training materials.

The new module,  “Privacy, Confidentiality, and Information Security” outlines privacy and confidentiality rights and protections as well as describes some of the latest threats and methods for protecting electronic data, including emails, wireless networks and mobile devices.

“Understanding Complex Products” provides financial advisers and their supervisors with a sound understanding of the essential characteristics of complex products that are offered to clients and related sales practices issues.

The module entitled, “Social Media: Best Practices for Registered Representatives” discusses the value of utilizing social media for communication and information exchange.

“Changes to FINRA’s Public Communication Rules for Registered Representatives” provides registered representative’s with an understanding of the recently-approved changes to the rules relating to public communications by a firm’s associated persons.

The module, “SEC Large Trade Rule 13h-1” discusses Rule 13h-1 and Form 13H under Section 13(h) of the Securities Exchange Act of 1934 (“Exchange Act”) which was put in place to assist the SEC in both identifying and obtaining trading information on “large traders.”

Featuring the industry’s largest selection of on-demand Annual Compliance Meeting modules, Quest CE’s solution ensures that, among other safeguards, each registered representative is provided the opportunity to discuss compliance issues that relate directly to the types of activities they conduct.

Click here to view Quest CE’s 2013 Annual Compliance Meeting course catalog. For more information on Quest CE’s solution, please contact a Sales Executive at 877-593-3366 or e-mail sales@questce.com.

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About Quest CE

For over twenty-five years, Quest CE has been 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 FINRA compliance training solutions including annually required Firm Element Training for registered representatives, on-demand Annual Compliance Meetings, Annual Compliance Questionnaires, Needs Analysis Surveys, Outside Business Activity Tracking, Gifts and Entertainment Tracking and Political Contributions Tracking.

Serving more than 535 leading insurance carriers, broker-dealers, banks, and other financial institutions, Quest CE is committed to providing advanced custom solutions at cost effective rates, while providing a level of service that greatly surpasses their competitors. Quest CE is the single source solution for organizations seeking training and compliance needs.

FINRA – Understanding Social Media for Retail Registered Representatives is a beginner level course that aims to help reps understand the rules and regulations applicable to using social media websites. The course will explore related rules and issues surrounding the topic, including the communications with the public rule, recordkeeping, suitability, interactive electronic forums, supervisions, third-party posts, hyperlinks, and the use of Smartphone’s and other personal devices for business communication.

Through its corporate sponsorship with FINRA, Quest CE is one of two vendors that have access to its Firm Element e-learning course library. Click here to view Quest CE’s 2013 Firm Element Course Catalog. For questions regarding this or other FINRA and/or Quest CE authored Firm Element course options, please contact a Quest CE Sales Executive at 877-593-3366 or e-mail sales@questce.com.

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About Quest CE

For over twenty-five years, Quest CE has been 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 FINRA compliance training solutions including annually required Firm Element Training for registered representatives, on-demand Annual Compliance Meetings, Annual Compliance Questionnaires, Needs Analysis Surveys, Outside Business Activity Tracking, Gifts and Entertainment Tracking and Political Contributions Tracking.

Serving more than 535 leading insurance carriers, broker-dealers, banks, and other financial institutions, Quest CE is committed to providing advanced custom solutions at cost effective rates, while providing a level of service that greatly surpasses their competitors. Quest CE is the single source solution for organizations seeking training and compliance needs

Using the Activity Log feature, employees can attest to activity declarations and upload supporting documentation quickly and easily. Once an item has been submitted, the rep’s supervisor is automatically alerted to the update, to ensure the activity is promptly reviewed and possible issues with the submission are addressed. The supervisor will then be able to review, approve or request more information on each individual submission. Firms can set-up and manage single or tiered workflows for comprehensive and thorough review of employee declarations.

Quest CE’s Activity Log can be utilized to monitor a variety of activity declarations, including but to limited to, client correspondences, disclosures, sales transactions and/or client recommendations. As such, the activity log template can be edited through Quest CE’s content management tool, Survey Builder, and customized to include a variety of questions and requests.

Quest CE’s Activity Log captures and archives an authentic and complete electronic record of all transactions in its secure yet accessible system. In addition, all transactions are time-stamped and dated to dictate accountability and ensure compliance with specified retention schedules. Reports can also be exported to an Excel spreadsheet for detailed access to all disclosed activities. These reports help serve as a verification of policy enforcement and can be used to manage a firm’s compliance and risk management.

Quest CE’s Activity Log was designed to assist firms in the collection and organization of documentation and data tracking. For more information on the Activity Log feature, please contact a Quest CE Sales Executive at 877-593-3366 or e-mail sales@questce.com.

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About Quest CE

For over twenty-five years, Quest CE has been 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 FINRA compliance training solutions including annually required Firm Element Training for registered representatives, on-demand Annual Compliance Meetings, Annual Compliance Questionnaires, Needs Analysis Surveys, Outside Business Activity Tracking, Gifts and Entertainment Tracking and Political Contributions Tracking.

Serving more than 535 leading insurance carriers, broker-dealers, banks, and other financial institutions, Quest CE is committed to providing advanced custom solutions at cost effective rates, while providing a level of service that greatly surpasses their competitors. Quest CE is the single source solution for organizations seeking training and compliance needs.

“We are extremely excited to showcase our compliance solutions at this year’s FINRA conference,” said Quest CE president and CEO Linda Krenke. “Quest CE has recently rolled out an array of service upgrades in the areas of mobile compatibility and program automation, which we are eager to introduce to the industry. In addition, Quest CE looks forward to discussing the debut of our Securities Exam Prep Simulator and Automated Rep Registration System.”

Conference attendees will have the ability to meet one-on-one with Quest CE associates to discuss a range of compliance program options, including but not limited to, Firm Element Training, Annual Compliance Meetings, Annual Tracking, Securities Exam Prep and Securities Licensing and Registration. The Quest CE staff on location will include Vice President of Sales, Marketing, and Client Services Alex Krenke, Senior Sales Executive Whitney Hagstrom, Senior Sales Executive Kristi Caruso, and Senior Sales Executive Michael Kirk.

Quest CE will be distributing a variety of gifts and conference survival gear to contributing conference participants, including this year’s much talked about ‘Activity Booklet for the Compliance Professionals’. Quest CE will be located at Booth 38 & 39, just outside the Grand Ballroom, at the Renaissance Washington, DC Downtown Hotel.

For more information on Quest CE’s attendance at the 2013 Annual FINRA Conference in Washington, please contact Quest CE at 877-593-3366 or e-mail sales@questce.com.

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About Quest CE

For over twenty-five years, Quest CE has been 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 FINRA compliance training solutions including annually required Firm Element Training for registered representatives, on-demand Annual Compliance Meetings, Annual Compliance Questionnaires, Needs Analysis Surveys, Outside Business Activity Tracking, Gifts and Entertainment Tracking and Political Contributions Tracking.

Serving more than 535 leading insurance carriers, broker-dealers, banks, and other financial institutions, Quest CE is committed to providing advanced custom solutions at cost effective rates, while providing a level of service that greatly surpasses their competitors. Quest CE is the single source solution for organizations seeking training and compliance needs.

FINRA – Communications With the Public: Compliance Issues for Wholesalers is a beginner level course that aims to help wholesalers understand their compliance responsibilities. Upon completion of this course, users will be able to: explain what constitutes as communications with the public, identify content standards for communications with the public, and recognize FINRA review requirements.

Through its corporate sponsorship with FINRA, Quest CE is one of two vendors that have access to its Firm Element e-learning course library. Click here to view Quest CE’s 2013 Firm Element Course Catalog. For questions regarding this or other FINRA and/or Quest CE authored Firm Element course options, please contact a Quest CE Sales Executive at 877-593-3366 or e-mail sales@questce.com.

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About Quest CE

For over twenty-five years, Quest CE has been 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 FINRA compliance training solutions including annually required Firm Element Training for registered representatives, on-demand Annual Compliance Meetings, Annual Compliance Questionnaires, Needs Analysis Surveys, Outside Business Activity Tracking, Gifts and Entertainment Tracking and Political Contributions Tracking.

Serving more than 535 leading insurance carriers, broker-dealers, banks, and other financial institutions, Quest CE is committed to providing advanced custom solutions at cost effective rates, while providing a level of service that greatly surpasses their competitors. Quest CE is the single source solution for organizations seeking training and compliance needs

Quest CE’s Email Blast Utility gives firms the power to create, manage and execute targeted emails, directly from their administrative dashboard. Here, program administrators can automate their compliance correspondences to send bulk and personalized emails to users through the firm’s existing Firm Element database.  Program users can schedule training reminders and program completion alerts to auto-launch for the entire training year, alleviating costs typically associated with program maintenance.

The Bulk Load Utility was designed specifically to offload the complex and time-consuming process of individually importing single sets of data into a firm’s program directory. The bulk load tool and supporting web interface, enables program administrators to efficiently assign courses, surveys and outside training to multiple representatives at one time, for seamless data integration.

Webinar Agenda:

Product Demonstrations
•Email Blast Utility
•Bulk Load Feature

Coming Soon to Quest CE
•Exam Simulator
•Bridge – Rep Registration Tool

Questions/Wrap Up

To register for a session, please use the following links:

SESSION 1: Click here to register for May 14 at 10:00 AM CST

SESSION 2: Click here to register for May 15 at 10:00 AM CST

SESSION 3: Click here to register for May 16 at 1:00 PM CST

Quest CE’s Bulk Load and Email Blast Utilities allow clients to deliver a more effective, sustainable and scalable approach to compliance administration. Available from the firm’s administrative dashboard, these value-add services are a feature of Quest CE’s Firm Element program.

If you or an associate is unable to attend the webinar series but would still like a demonstration/copy of the presentation, please contact our sales team at 877-593-3366 or sales@questce.com.

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About Quest CE
For over twenty-five years, Quest CE has been 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 FINRA compliance training solutions including annually required Firm Element Training for registered representatives, on-demand Annual Compliance Meetings, Annual Compliance Questionnaires, Needs Analysis Surveys, Outside Business Activity Tracking, Gifts and Entertainment Tracking and Political Contributions Tracking.

Serving more than 535 leading insurance carriers, broker-dealers, banks, and other financial institutions, Quest CE is committed to providing advanced custom solutions at cost effective rates, while providing a level of service that greatly surpasses their competitors. Quest CE is the single source solution for organizations seeking training and compliance needs.

FINRA – Electronic Communications: What Independent Registered Representatives Need to Know is a beginner level course that helps independent registered representatives understand their responsibilities with the use of electronic communications. Upon completion of this course, users will be able to: explain what constitutes communications with the public, recognize content standards for communications with the public, identify the various forms of electronic communications, and explain why electronic communications must adhere to the same content standards as written communications.

Acting in a corporate partnership, Quest CE is one of two CE providers that have access to FINRA’s Firm Element e-learning course library. Click here to view Quest CE’s 2013 Firm Element Course Catalog. For questions regarding this or other FINRA and/or Quest CE authored Firm Element course options, please contact a Quest CE Sales Executive at 877-593-3366 or e-mail sales@questce.com.

###

About Quest CE

For over twenty-five years, Quest CE has been 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 FINRA compliance training solutions including annually required Firm Element Training for registered representatives, on-demand Annual Compliance Meetings, Annual Compliance Questionnaires, Needs Analysis Surveys, Outside Business Activity Tracking, Gifts and Entertainment Tracking and Political Contributions Tracking.

Serving more than 535 leading insurance carriers, broker-dealers, banks, and other financial institutions, Quest CE is committed to providing advanced custom solutions at cost effective rates, while providing a level of service that greatly surpasses their competitors. Quest CE is the single source solution for organizations seeking training and compliance needs.

Test your industry knowledge by answering Quest CE’s exam question of the week! Exam questions are drawn directly from Quest CE’s exam portal, and feature a wide range of topics including suitability, ethics, regulation and anti-money laundering. Be sure to submit your answer in the comments section and check back Thursday for the correct answer. For rules and details visit: http://www.questce.com/company/fine-print

Course Topic: How to Read a Prospectus

Question: To help investors understand the risks of investing in a fund, the Risk/Return Summary presents three significant items of financial information about the fund’s investment performance: A performance comparison table showing how the fund has performed compared to a broad-based securities market index, the fund’s investment performance for its best and worst calendar quarters and ___________?

a.) Fee comparison table

b.)Statement of additional information

c.) A bar chart showing how the fund has performed over time

d.) A listing of fund expenses

The state of Oklahoma requires producers to complete at least two hours of continuing education training on recent changes to laws and regulations that affect insurance in the state. This course is designed to meet the Oklahoma two-hour requirement. The course will review legislative updates for:

• Anti-Fraud
• Insurance Producers
• Insurance Companies
• Adjusters

Quest CE offers an array of continuing education courses to fulfill advisers’ industry needs at both state and national levels. For questions regarding this or other insurance CE course options, please visit our website at learn.questce.com or contact a Quest CE Sales Executive at 877-593-3366.

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About Quest CE

For over twenty-five years, Quest CE has been 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 FINRA compliance training solutions including annually required Firm Element Training for registered representatives, on-demand Annual Compliance Meetings, Annual Compliance Questionnaires, Needs Analysis Surveys, Outside Business Activity Tracking, Gifts and Entertainment Tracking and Political Contributions Tracking.

Serving more than 535 leading insurance carriers, broker-dealers, banks, and other financial institutions, Quest CE is committed to providing advanced custom solutions at cost effective rates, while providing a level of service that greatly surpasses their competitors. Quest CE is the single source solution for organizations seeking training and compliance needs.

Course Topic: Preventing Personal Identity Theft

Question: What is the fastest growing white-collar crime?

a.) Money laundering

b.) Identity theft

c.) Corporate espionage

d.) Gambling