MILWAUKEE – Quest CE, trusted provider of compliance training and tracking technology solutions, announced the addition of eight new FINRA Firm Element courses to its e-learning catalog.
These in-depth courses, developed by FINRA and hosted through Quest CE’s LMS, are available as part of Quest CE’s status as an approved provider of FINRA e-learning content.
- FINRA – AML Compliance: Activity Monitoring
Course ID 241152
Covers the foundational requirements of the Bank Secrecy Act (BSA), while helping financial professionals identify red flags of money laundering during customer interactions and transactional reviews. Emphasis is placed on practical application within day-to-day supervisory and compliance functions.
- FINRA – 2025 Annual Industry Priorities Review
Course ID 24153
Highlights key focus areas outlined in FINRA’s latest report, including recent findings, emerging risks, and effective practices. Learners will also explore reliable tools and resources for staying informed on evolving industry priorities.
- FINRA – Regulatory Concerns for Products
Course ID 24159
This course explores regulatory risks and concerns tied to various investment products, with emphasis on issues frequently observed in supervisory reviews. Offers actionable guidance for registered representatives and supervisors to strengthen oversight and align with regulatory expectations.
- FINRA – 2025 Annual Compliance Review
Course ID 24167
This course provides a high-level review of common compliance challenges, using real FINRA enforcement actions to demonstrate practical lessons. Learners will examine obligations to broker-dealers, customers, and regulators, along with the underlying rules that govern those responsibilities.
- FINRA – 2025 Supervisory Trends Review
Course ID 24173
Equip supervisors with insight into recent regulatory trends and expectations related to oversight responsibilities. Includes interactive elements to reinforce decision-making and highlight potential risks in supervisory conduct.
- FINRA – Investor Trends: Exploring the Changing Investor Landscape
Course ID 24226
Analyzes shifts in investor behavior, financial capability, and engagement patterns among U.S. adults, particularly in the wake of the COVID-19 pandemic. Learners will review research-backed insights into how investors seek information, make decisions, and interact with financial professionals.
- FINRA – Annual 2025 AML Review
Course ID 24233
Delivers a comprehensive review of AML program elements, including customer due diligence and suspicious activity detection. Discusses industry trends, recent cases, and the compliance consequences of missing red flags or falling short of regulatory standards.
- FINRA – Analyzing Investor Growth
Course ID 24247
Investigates the behaviors and motivations of new investors who entered the market during the pandemic. Covers their investment knowledge, communication preferences, and what these shifts mean for financial services engagement and education.
For questions regarding this or other Firm Element courses, please contact us here. To view Quest CE’s FINRA course catalog, click here.
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About Quest CE
For over thirty-five years, Quest CE has been a trusted provider of compliance training and tracking solutions to the financial services industry. In partnering with more than 2,400 leading insurance carriers, broker-dealers, registered investment advisors, and other financial institutions, Quest CE offers a full suite of proprietary technology solutions while delivering an unmatched level of customer service.
Through the delivery of advanced custom solutions, Quest CE honors its mission to empower financial institutions with easy-to-use technology that simplifies their
