Quest CE offers a complete suite of Securities Training solutions to meet your annual FINRA requirements. In addition to offering the most competitive pricing in the industry, we pride ourselves in our responsive customer care and robust course library. Quest CE authors 30 new courses every year to our Firm Element and Annual Compliance Meeting Library, based on current trends and hot topics in compliance. To view our Firm Element and Annual Compliance Libraries visit our Catalog Builder.
Our Securities Compliance Solution is built directly into Renaissance, our propreitary Learning Management System (LMS). Because our systems are built and managed in-house we are able to custom brand web portals specifically for your company. Your web portal will mirror your companies look and feel, creating a seamless learning experience for your registered representatives. Everything from the student to administrator experience is intuitive and customizable.
Custom Branded Portal
Customized Portal: Branded logo and layout build brand awareness for your reps
Layout Features: Student Log-in, Live Chat support and company/program description
Administration Features: Data Sorting, exportable, custom reports in excel and 24/7 instantanous reporting
Our Firm Element Training
Quest CE has authored over 350 Firm Element Courses covering a wide array of course content. We are committed to our course content and author 30 new courses annually to ensure that our courses are current and relevant to financial professionals. To view our custom course Catalog Builder click here.
Our courses are delivered through interactive, self-paced online presentations. All of our courses utilize imagery and manageable page lengths to enhance the student experience and encourage active student learning. If you would like to view an online demonstration of one of our Firm Element Courses click here.
Our Annual Compliance Meetings
Quest CE’s Online Annual Compliance Solution provides an innovative online solution to administer FINRA’s annual compliance meeting requirement and other online events, allowing firms to efficiently provide online registration, delivery, and tracking of meeting attendance. Our On-Demand Learning Platform enables firms to hold pre-recorded meetings online without the costly time and travel expenses associated with live meetings.
Features:
- Automated Registration System
- Automated Email Notifications
- Online Meeting Environment
Benefits:
- No Travel Expenses
- No Downtime for Travelers
- No Conference Call Fees
Course Directory
Our course directory provides students with a range of helpful options without disrupting their progress these options include: contacting your firm’s compliance department, a group discussion board, technical support, or simply returning to their training dashboard. Student progress is bookmarked within Renaissance and emails are distributed instantaneously.
Quest CE Help Your Achieve Complete Compliance with FINRA Rule 3010
- Click as you go format. Attendees are actively learning
- Detailed completion reports for program administrators
- Tracks attendance time and date
- Unique ID and password provided for each attendee
- Required attendance attestation at the end of the meeting
- Q & A system that allows attendees to post a question at any point during the meeting and see other questions/answers posted by other attendees
Use our Custom Catalog Builder to help you build the On-Demand Annual Compliance Meeting best suited for your representatives here.
Our Annual Compliance Surveys
Our Annual Compliance Survey Solutions allow you to track and maintain all of your representatives’ activities and help maintain your firm’s complete compliance with FINRA regulations. Quest CE offers solutions for all of your Annual Tracking needs including Annual Compliance Questionnaire, Needs Analysis Survey, Outside Business Activity Tracking, Gifts and Entertainment Tracking and Political Contributions Tracking.
Customize your surveys with the questions and content that apply specifically to your reps. Our surveys allow the program administrator to flag specific responses to illicit automatic e-mails notifying them of the representatives’ responses. You can also have automatic e-mails sent whenever one of your representatives adds a new activity or response to their Compliance Surveys, allowing you to confirm or deny additions on the go.
Our Compliance Surveys are web based and accessible 24/7 ensuring that new information is added to the representative’s profile instantaneously. Automatic time stamps on profile activityprovide you with a complete, automatic audit trail of all your representatives’ activities
Reporting on your programs Annual Compliance Surveys is as simple as exporting your data into an easy to read and sort Excel Sheet. On the Administrator Dashboard you have the ability to view At-A-Glance reporting providing you easy to read graphs and pie charts that quickly summarize your program. At Quest CE we make it easy for you to manage and track your firm element program through our innovative online technology.
For more information regarding Quest CE’s tracking solutions, please contact our sales department at 877-593-3366 or e-mail us at sales@questce.com.
