Resource Library

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

That’s a Wrap! QCE Client Fall Webinar

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.

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.

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A Guide to NASAA’s IAR CE Rule

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.

Steps to Launching you Quest CE Program

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

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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.