FINRA E-Learning

Tackle your required training through FINRA’s e-learning portal.

INTERACTIVE E-LEARNING

Through an exclusive agreement with FINRA, Quest CE is one of a few third-party vendors approved to offer FINRA’s entire e-learning course catalog. We offer FINRA’s e-learning library for individual purchases or for companies looking to manage corporate programs for their representatives. Group purchases are mirrored after Quest CE’s popular Firm Element Express solution. Similar to FE Express, FINRA’s E-learning platform allows firms to create, launch and manage their entire Firm Element program from the convenience of an easy-to-use, self-service web portal.

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FINRA E-Learning Portal

 Industry-Leading Content 

FINRA’s course catalog offers over 120 training courses including topics such as anti-money laundering, senior investors, insider training and more. Each FINRA e-learning course follows a core concept, provides relevant scenarios and offers optional examinations and attestations designed to test the user’s knowledge of the course content. Additionally, users are presented with activities and decision points throughout each course to help them apply their knowledge and test their understanding of the subject-matter. Several courses offer CFP continuing education credits ranging anywhere from 0.5 – 2.0 credits.

Centralized Dashboard

When you assign FINRA’s courses through our compliance management system, you benefit from a range of advanced system capabilities to help streamline your entire Firm Element lifecycle. In addition to the overarching benefits of a quick and seamless program launch, it provides program administrators with the ability to bulk load users to the system, as well as schedule automated training reminders, throughout the year, using the platform’s internal Email Blast Tool. Additionally, a detailed reporting dashboard is available to help track representatives’ training completions as they occur in real-time.

 

Note: Use of FINRA’s e-learning courses does not guarantee compliance with regulatory requirements or create a safe harbor from regulatory responsibilities.

Complete Your Program

Firm Element Training

For additional training options, including a selection of over 450 courses, visit the Quest CE Firm Element course library.

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Annual Questionnaires

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

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Disclosure Tracking

Track Outside Business Activities, Gifts, Entertainment, Political Contributions and more!

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Speak to an Expert

Complete the form below to learn more about FINRA E-Learning.

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