Resource Library
Browse our resource library of videos, white papers, user-guides and more!
NEW! Demystifying On and Off-Channel Communications
In this webinar, we explore the evolving communication landscape & misconceptions.
Your Firm’s Complete Roadmap to IAR CE Compliance
In this webinar, we cover the IAR CE rule & tips to establish effective compliance oversight.
Best Practices for Rolling Out your Quest CE Program
In this webinar, we’ll share helpful program tips, like adding user and assigning services.
Decoding FINRA Rule 3110: Insights for Branch Inspections
In this webinar, we cover FINRA’s pilot program & office classifications, including RSL.
Best Practices for Wrapping Up your Quest CE Program
In this webinar, we discuss tips and tricks for wrapping up training programs for the year.
How Technology can Improve Branch Audits
In this webinar, we identify the key benefits of a web-based branch audit program.
A Guide to NASAA’s IAR CE Rule
In this webinar, we cover everything you need to know about the IAR CE rule.
Mobilizing the SEC’s New Marketing Rule
In this webinar, we discuss key components of the SEC’s new Marketing Rule.
A Step-by-Step Guide to Firm Element Compliance
This whitepaper covers everything that should go into planning a successful Firm Element program.
Must Know Facts about the IAR CE Model Rule
This whitepaper covers everything you need to know about NASAA’s new IAR CE model rule.
Branch Audit Tool
This video walks through how to use our Branch Audit Tool from the Auditor’s point of view.
Policy Attestations
This video shows how to centrally host, view, and manage your electronic policies.
Compliance Questionnaires
This video shows some of the features available within our compliance questionnaires.
