Firm Element Training

Easily assign training and maintain all aspects of your Firm Element program.

Level-Up your Training Program

When the only constant of your business is change, you need to be agile.

Everything your LMS Should Be

Quest CE’s powerful all-in-one platform provides all the tools you need to build a scalable, efficient Firm Element program. Firms choose us for our expert-authored training; but stay for our easy-to-use learning management system. In fact, our team is continuously making updates to our content and system to enhance the experience of our learners and LMS administrators.

Course Catalog

Industry-Leading Content

We understand that diverse training is essential to your compliance program; that’s why our Firm Element catalog contains 450+ courses, with topics ranging in length and difficulty.

Automated Training Reminders

Use the system’s integrated Email Blast Tool to schedule automated email alerts to deploy to your team on a daily, weekly or monthly basis, until training is complete. Take that, procrastinators.

Total Customization

With our course authoring tool, Course Builder, you have the ability to customize any of our off-the-shelf Quest CE-authored courses to make it align with your firm’s internal policies and procedures.

Bundle and Save

Save on Firm Element when you purchase a Needs Analysis and Written Training Plan through us.

1. Individual Needs Analysis

Our Individual Needs Analysis Survey evaluates your employee’s job knowledge, skills and abilities to help you easily determine what type of training is needed for them, personally.

2. Firm Needs Analysis

Serving as an organization-wide assessment, the Firm Needs Analysis determines the varying needs of your firm’s departments, job functions, training priorities, products and services.

3. Written Training Plan

In our Written Training Plan template, we help establish the training needs and learning styles of your firm by talking into account your firm’s size, structure, scope of business, and much more.

Popular Courses

Looking to freshen up your content? Check out these popular courses.

Regulation Best Interest (Reg BI) and Associated Materials

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Security Best Practices for Remote Workers Amid COVID-19

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Working Towards Diversity and Inclusion in the Workplace

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Firm Element Express

Set up a Firm Element program right now – in as little as 15 minutes.

Get Started Now

Ideal for boutique broker-dealers, our Firm Element Express solution walks you through the steps of setting-up an account, assigning training and tracking results. No demo or contract needed!

Create Program

Complete Your Program

Finish your program by adding these other services!

Annual Questionnaires

Add an actionable ACQ to your program to verify your representatives’ annual activities and disclosures.

Conflict of Interest Tracking

Individually track Outside Business Activities, Gifts, Entertainment, Customer Complaints and more!

Annual Compliance Meeting

Cut costs, improve productivity and accelerate learning with our online meeting technology.

Frequently Asked Questions

You have questions – we have answers!

Firm Element is a FINRA continuing education rule that requires firms to annually deliver training to their representative population. There are three aspects of this requirement, which include 1.) a needs analysis/survey, 2.) a written training plan, and 3.) firm-wide training.
The Firm Element requirements apply to all “covered persons.” A covered person is defined as someone who is registered, including registered representatives, principals, assistant representatives, research analysts, investment bankers, and operations professionals.
SRO rules require covered persons to participate in training as prescribed by their firms. Failure to do so could result in disciplinary action by his or her firm or by regulatory authority.

You bet! With our service, firms have the ability to customize any off-the-shelf Quest CE courses directly in our course authoring tool, Course Builder. There is no additional cost to use the tool, it’s automatically included with a Quest CE training program!

There is no single date on which training must begin, but it must be completed annually. Training dates are determined by the firm and are incorporated into the training plan. Firm sizes and product offerings may affect the amount of training the firm will offer.
Each firm must provide continued education that is reasonable and in accordance with the identified training needs, but there is not a required number of hours for the Firm Element.

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