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) recently published its Q2 2021 Firm Element Advisory (FEA). The report features many of the same topics discussed in its Firm Element Advisory from last year. All new material is denoted by a "(New!)" next to the appropriate title.  Read More

FINRA Moves Forward with Annual Regulatory CE

In early June, FINRA filed a proposal with the SEC which would require, among other changes, that the Regulatory Element of continuing education be completed annually rather than every three years and that individuals be able to maintain their qualification for a longer period of time following the termination of a registration. Read More

Five Courses to Assign After the FINRA Conference

For compliance professionals and others in the financial services industry, the Annual FINRA Conference is one of the year’s most highly anticipated and attended events. With all that the FINRA conference has to offer, it’s important for attendees to incorporate what they have learned into their firm’s compliance program. Here are five Quest CE courses to pair with the 2021 Annual FINRA conference sessions. Read More

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