Resource Library

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.

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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.

Steps to Launching your 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.

May Newsletter

This month, we break down the SEC’s recent Risk Alert, FINRA’s Industry Snapshot and the Reg BI Bulletin.

April Newsletter

This month, we highlight the Q1 Firm Element notice and the latest state to adopt IAR CE.

March Newsletter

This month, we summarize our top three takeaways from the IAA compliance conference.