MILWAUKEE – Quest CE, trusted provider of compliance training and tracking technology solutions, today announced the addition of the new Firm Element course, “MSRB Rule G-3: Registration and Continuing Education Requirements” to its Firm Element e-learning catalog.
The MSRB recently introduced substantial updates to its rules related to the registration of reps and principals, as well as Continuing Education (CE) requirements. This course will cover the changes, which are designed to bring MSRB rules in alignment with FINRA requirements related to registration and CE. Two highlights are a new procedure developed by FINRA that will enable individuals to allow their registration to lapse for up to five years without needing to requalify by examination and the establishment of a new annual Regulatory Element CE requirement. This course is intended for financial advisers, underwriters, broker-dealers, and compliance professionals.
Course Topics Include:
- The MSRB
- The Registration Process
- MSRB Exams
- Continuing Education
For questions regarding this or other Firm Element courses, please contact us here. To view Quest CE’s Firm Element 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 compliance and continuing education programs. For more information on Quest CE, visit www.questce.com.
