MILWAUKEE, WI – Quest CE, a trusted provider of compliance training and tracking technology solutions, announced today the addition of a new course, “Rule 2241: Supervisory Analysts and Research Compliance” to its Firm Element e-learning catalog.
Participants gain an overview of FINRA Rule 2241 and the regulatory framework governing research analysts and research reports within broker-dealer firms. The course explains how the rule addresses conflicts of interest between research and investment banking, establishes safeguards to promote research independence, and requires firms to implement supervisory systems and disclosure controls. Learners examine the role of supervisory analysts, including their responsibilities for reviewing research communications and the requirement to pass the Series 16 Supervisory Analyst Qualification Exam.
This course focuses on three core topics: 1) History of Research Analyst Regulation, 2) Emerging Considerations: Artificial Intelligence and Research Supervision, and 3) Recent Enforcement and Compliance Risks.
Course Topics Include:
- Rule 2241
- Compliance Risk
- Research Disclosures
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.
