Firm Element Express allows Broker-Dealers to manage their entire Firm Element Training and Tracking programs without the assistance of an outside training provider. Following a simple three step process, Chief Compliance Officers or Program Administrators can launch their program in less than 30 minutes and begin representative training immediately.
To view the FE Express Portal, or to begin your program click here.
Administrative Features
As the program administrator you can select from any or all of the Securities Training and Tracking solutions that Quest CE offers.
These Include:
- Firm Element Training
- Annual Compliance Meetings
- Annual Compliance Questionnaires
- Needs Analysis Surveys
- Outside Business Activities Tracking
- Gifts and Entertainment Tracking
- Political Contributions Tracking
The initial service is $30 and $10 for each additional service. Administrative access will be available any time to track student completion and export reports. As always Quest CE will be available for support.
Three simple steps to FINRA Compliance
Step One – Create a Company Profile: To meet system specifications and FINRA requirements, you will need to provide the program with principal company information and create an administrator login account. Next, you will outline your Firm Element program by adding the number of participating students, and selecting the service options you want to include.
Step Two – Process Profile: Once your Company Profile is loaded, you will have the ability to confirm your Firm Element program and process the account into the FE Express system.
Step Three – Begin your Program: Once your Company Profile is processed you will immediately land on the FE Express platform. This platform contains everything you will need to begin setting up your program. From here you will be able to add each of your student profiles and assign courses from the training options available. Once you have assigned a course, the selection will be loaded into the student’s profile.
Custom Firm Element Solution
If you are looking for customized Firm Element Training and Tracking solutions, take advantage of our dedicated Account Executive Team. Our Full Service Firm Element Solutions offer you the ability to customize your training and tracking options and receive the assistance of an Account Manager when you need them. For inquiries regarding pricing, please contact our Sales team at 877.593.3366 or email sales@questce.com.
