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Developing FINRA-Ready Firm Element CE Programs is an interactive webinar where broker-dealer compliance professionals will learn proven strategies for building, managing, and documenting their Firm Element CE programs. This session will walk through the core components of a successful program, from selecting appropriate content to developing comprehensive training plans that align with regulatory expectations.

Attendees will gain insights from industry best practices and recent FINRA examination findings that highlight common areas where firms fall short. The webinar will also feature a live demonstration of Quest CE’s Course Builder technology, showcasing how easy it is to customize existing courses to meet your firm’s specific needs. Be sure to register and join the discussion on July 24, 2025, at 10AM CT.

Topics that will be covered during the webinar include:

Firm Element 101: Overview & FAQs

  • What Topics your Firm Element Should Cover
  • The Three Main Components of a Firm Element Program
  • Industry Best Practices from High-Performing Firms

Recent FINRA Examination Findings

  • Conducting and Documenting the Annual Needs Analysis
  • Failing to Enforce Policies & Completion Tracking
  • Training Topics That Meet Needs Analysis

Technology Solutions Demo

  • Live Demo: How to Customize Quest CE’s Off-The-Shelf Courses
  • Adding, Removing and/or Editing Content
  • Q&A
Register Now

The seat limit for this session is 500 participants and is anticipated to run for an estimated 45-60 minutes. If you or an associate is unable to attend the webinar but would still like a demonstration/copy of the presentation, please contact us here.

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About Quest CE

For over thirty-five years, Quest CE has been a trusted provider of compliance training and tracking solutions to the financial services industry. In partnering with more than 2,400 leading insurance carriers, broker-dealers, registered investment advisors, and other financial institutions, Quest CE offers a full suite of proprietary technology solutions while delivering an unmatched level of customer service.

Through the delivery of advanced custom solutions, Quest CE honors its mission to empower financial institutions with easy-to-use technology that simplifies their compliance and continuing education programs. For more information on Quest CE, visit www.questce.com.