CE Council Releases Q2 2017 Firm Element Advisory
The Securities Industry/Regulatory Council on Continuing Education (Council) just recently published its Q2 2017 Firm Element Advisory (FEA). Read More
Ten Benefits of Using an E-Learning Training Platform
[SLIDESHOW] Making the switch to an online training platform can be a big step, but it could save your firm from future headaches. Here are ten benefits for transitioning your live training methods to an all-in-one online compliance training platform. Read More
FINRA Issues Suspension Over Firm Element Training
In this month’s FINRA Disciplinary Actions Notice, a registered representative was suspended from association with any FINRA member in any capacity for three months due to the entry of findings that she instructed her assistant to complete her Firm Element continuing education coursework on her behalf. Read More
Why Training is the Best Compliance Remedy
If you were given the choice between two different pilots – one that is trained, the other not – which one would you choose? The answer seems like a pretty simple one, doesn’t it? So why would you treat your firm’s training plan any differently? Read More
Seven Tips to Increase Training Completion Rates
The mantra “if you build it, they will come” unfortunately doesn’t seem to carry the same weight when being applied to continuing education, especially in terms of compliance. So how can your firm shake up its Firm Element program and boost completion rates? Here are a few suggestions from Quest CE. Read More
