Browse our resource library of videos, white papers, user-guides and more!
FINRA and the SEC’s 2023 Exam Priorities
In this webinar, we provide practical takeaways from the exam priorities.
How Technology can Improve Branch Audits
In this webinar, we identify the key benefits of a web-based branch audit program.
A Guide to Implementing IAR CE
In this webinar, we cover everything you need to know before the new IAR CE rule.
Mobilizing the SEC’s New Marketing Rule
In this webinar, we discuss key components of the SEC’s new Marketing Rule.
Fall Program Reminders and Best Practices
In this webinar, we share several tips for wrapping up your Quest CE 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.
Eight Reasons to Bring your Audits Online
This whitepaper offers eight reasons to consider taking your Branch Audit process online.
Branch Audit Tool
This video walks through how to use our Branch Audit Tool from the Auditor’s point of view.
This video shows how to centrally host, view, and manage your electronic policies.
This video shows some of the features available within our compliance questionnaires.
Conflict of Interest Tracking
This video features some of the functionality available through conflict-of-interest tracking.
This month, we break down the SEC’s recent Risk Alert, FINRA’s Industry Snapshot and the Reg BI Bulletin.
This month, we highlight the Q1 Firm Element notice and the latest state to adopt IAR CE.