Resource Library

Browse our resource library of videos, white papers, user-guides and more!

Crossing the Finish Line on your 2024 Quest CE Program

In this webinar, we walk through some system best practices for finishing the year strong!

Decoding FINRA Rule 3110: Insights for Branch Inspections

In this webinar, we discuss FINRA’s new pilot program and office classifications, including the RSL.

Adventure Awaits: Best Practices for Launching your Program

In this webinar, we’ll share helpful program tips, like adding user and assigning services.

Prioritizing FINRA and the SEC’s 2024 Exam Priorities

In this webinar, we’re joined by several CCOs who help provide practical takeaways on the 2024 exam priorities.

That’s a Wrap: Essential Tips for Annual Program Wrap-Up

In this webinar, we discuss tips and tricks for wrapping up training programs for the year.

Making Your Program Launch a Piece of Cake!

In this webinar, we discuss the ‘ingredients’ of a successful training program launch.

Prioritizing FINRA and the SEC’s 2023 Exam Priorities

In this webinar, we discuss with several CCOs the biggest practical takeaways from the 2023 exam priorities.

How Technology can Improve Branch Audits

In this webinar, we identify the key benefits of a web-based branch audit program.

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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.

Fall Tips for Managing your QCE Program

In this webinar, we share several tips for wrapping up your Quest CE program.

Steps to Launching you Quest CE Program

In this webinar, we share several tips for launching your annual Quest CE program.

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.

Eight Reasons to Bring your Audits Online

This whitepaper offers eight reasons to consider taking your Branch Audit process online.

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Distinguishing Between OBAs and PSTs

This whitepaper covers both Outside Business Activities and Private Securities Transactions.

Branch Audit Tool

This video walks through how to use our Branch Audit Tool from the Auditor’s point of view.

Compliance Meetings

This video shows some of the features available within our on-demand ACMs.

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.

Conflict of Interest Tracking

This video features some of the functionality available through conflict-of-interest tracking.

Course Builder/Editor Tool

This video shows how to easily customize/edit our off-the-shelf e-learning courses.

October Newsletter

This month, we highlight a list of 21 frequently asked Firm Element CE questions.

September Newsletter

This month, we discuss 11 reasons you could get picked to be examined by the SEC.

August Newsletter

This month, we discuss AI and FINRA’s Regulatory Element notice.