The Compliance Digest

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

CE Council Releases Q2 Firm Element Advisory

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

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Best of 2019: Our “Top 10” Firm Element Courses

Have you ever been curious about which of our courses are most popular among firms today? In this article, we pull back the curtain by featuring our top 10 most delivered Firm Element courses in 2019, thus far. Read More

One Year In: Regulators Recap Senior Safe Act

In acknowledgment of the one-year anniversary of the passage of The Senior Safe Act, the SEC, NASAA, and FINRA have issued a fact sheet to help raise awareness on how the Act’s immunity provisions work. Read More

CE Council Releases Q1 2019 Firm Element Advisory

The Securities Industry/Regulatory Council on Continuing Education (Council) just recently published its Q1 2019 Firm Element Advisory (FEA). Read More

Rep Suspended for Failing to Complete Firm Element

According to FINRA’s February Disciplinary Actions Notice, a registered representative from Chesapeake, Virginia was assessed a deferred fine of $2,500, suspended from association with any FINRA member in all capacities for three months and required to complete 10 hours of continuing education for failing to complete his Firm Element continuing education. Read More

Making a Fourth Quarter Compliance Comeback

While the compliance comeback is no easy feat, I’m here to tell you that there’s still time, and by following the below training tips you can have your program up and running before the play clock expires. Read More

“Top 10” Firm Element Courses in 2018 (So Far)

At Quest CE, there is no shortage of continuing education courses. The difficult question is determining which training is best suited for your firm. In this article, we outline our top 10 most popular Firm Element courses in 2018, thus far. Read More

CE Council Releases 2018 Q2 Firm Element Advisory

In this article, we identify regulatory and sales practice topics the CE Council recommends firms consider in their 2018 Firm Element training plans. Read More

Three Important Training KPIs You Should be Tracking

In this blog, we’ll look at three key performance indicators (KPIs) that can provide data to back up the value of your training program. Read More

What are the FINRA Firm Element Requirements?

Firm Element Continuing Education: who needs it? Why do we need it? And what’s involved in the training process? These are the common questions that broker-dealers deal with on an annual basis. Read More