The Compliance Digest

Get expert compliance tips and up-to-date regulatory news.

Part 3: CE Council Releases Guide on Training Plan

The CE Council recently released a guide to Firm Element Continuing Education Program, which outlined three major areas to developing an effective CE program. This blog is intended to cover the written training plan, the second component of an effective CE program. Read More

Part 2: CE Council Releases Guide on Needs Analysis

The CE Council recently released a guide to Firm Element Continuing Education Program, which outlined three major areas to developing an effective CE program. This blog is intended to cover the Needs Analysis requirement, the first step in developing a Firm Element program is to analyze a firm's training needs. Read More

Part 1: CE Council Releases Guide on Firm Element

The CE Council recently released a guide to Firm Element Continuing Education Program, which outlined three major areas to developing an effective CE program. This blog is intended to cover the Firm Element requirement, in general, to help generate ideas for producing an effective Firm Element program. Read More

FINRA Releases Q3 2020 Firm Element Advisory

The Securities Industry/Regulatory Council on Continuing Education (Council) publishes a quarterly Firm Element Advisory (FEA) to highlight current regulatory and sales practice topics for possible inclusion in Firm Element training plans. Read More

Quest CE’s Best Selling E-learning Courses in 2020

In this article, we round up our “Top 10” bestselling Firm Element courses this year. Read More

23 Courses to Help you Celebrate Social Media Day!

To help you celebrate National Social Media Day, we highlighted some of our top social media and communications courses, all of which are great options to include in your 2020 training plans. Read More

The Top 10 Firm Element Courses of the Year

We were curious to know which of our Firm Element courses are leading the pack through the first few months in 2020. In this article, we feature the top 10 courses that are being delivered so far this year. Read More

CE Council Releases Q1 2020 Firm Element Advisory

Find out which regulatory topics the Council on Continuing Education (CE Council) recently published in its Q1 2020 Firm Element Advisory (FEA).
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What you Need to Know about FINRA’s CE Proposal

If you're involved in CE oversight at your firm, the following article summarizes FINRA's proposal to enhance it's continuing education program for securities professionals. Read More

FINRA & SEC Exam Priority-Inspired Course Options

To help you get a jump start on planning your compliance training calendar for the year, we’ve identified ten fan-favorite courses from our catalog that correlate with the areas of risk identified in this year’s priorities letters. Read More