Top 10 Quest CE E-Learning Courses from 2017

With over 450 courses to choose from, have you ever wondered which of our training is most popular? After analyzing thousands of user accounts, provided is a ranked list of our “top 10” most assigned courses from 2017.

1.) Cybersecurity: Phishing

As firms increase reliance on technology to conduct their operations, the risks to firm associated with cybersecurity continue to increase. This course provides representatives with background knowledge of cybersecurity risks and best practices, including phishing tactics, vendor management controls, information sharing and much more.

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2.) Cybersecurity for Registered Representatives

This course examines the various targets and types of cyber-attacks, their threat to the financial industry, disclosure requirements for FINRA registered firms, regulatory measures to prevent cybercrimes and practical steps toward cybersecurity.

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3.) Advanced Anti-Money Laundering Overview

This course provides a high level look at AML for all types of financial services representatives and agents and includes real-world case studies to illustrate the concepts discussed. Topics covered in this course include: understanding the evolution of AML laws in the US, real-world examples of red flags and how reporting tools are used by FinCEN and law enforcement.

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4.) Department of Labor Fiduciary/Conflicts of Interest Rule

This course was developed to introduce the Department of Labor’s Fiduciary Rule to the market and help eliminate conflicts of interest when recommending or otherwise giving retirement investment advice. While there still remains an industry-wide media frenzy regarding the rule, this course explains the fiduciary duty as it stands and what is required of those who sell products for, or provide advice on retirement investing.

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5.) Cybersecurity

This course examines various targets and types of cyber-attacks, their threat to the financial industry, disclosure requirements for FINRA registered firms, regulatory measures to prevent cybercrimes and practical steps toward cybersecurity. It also discusses recent FINRA guidance, including the presence of cybersecurity in the Regulatory and Examinations Priorities Letter, the Report on Cybersecurity Practices, and Investor Alerts warning investors about cyber threats.

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6.) Anti-Money Laundering: Customer Identification, Red Flags, Everyday Scenarios and Enforcement Cases

This course provides a brief review of the basics of illegal money laundering and the legislative measures adopted to combat money laundering in the US. The course also discusses red flags that every representative should be aware of in their day-to-day dealings with customers and prospective customers, and with accounts. The course concludes with examples of enforcement cases that reinforce the concepts covered in the text.

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7.) Outside Business Activities and Private Securities Transactions

This course is intended to familiarize registered representatives and general securities supervisors with the rules regarding outside business activities and personal trading. It clearly defines what these activities can be and illustrates the importance of full disclosure and thorough supervision of these activities.

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8.) Anti-Money Laundering: Technological Challenges

This course is intended to familiarize representatives with the process of money laundering and the laws that make it a crime. At the end of this course, you will have a better understanding of Customer Identification Programs, FINRA Rule 3310, OFAC Sanctions Programs, Foreign Shell Banks, Due-Diligence Programs and much more.

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9.) FINRA AML: Institutional: Identification and Reporting Issues

This course is designed for institutional registered representatives, supervisors and institutional sales representatives. This course employs scenarios to demonstrate situations involving trading activity that is inconsistent with investment objectives, extra due diligence requirements for an acquisition and new account opening with a politically exposed person.

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10.) Communications with the Public: Best Practices for Wholesalers

As a registered representative who markets or sells financial products to other broker-dealers, you probably do not communicate directly with the public. Even so, it is still important to understand FINRA’s rules surrounding communications with the public, as the communications you create may end up in the hands of a retail customer. This course discusses FINRA’s three communication categories, which include retail communications, institutional communications and correspondence.

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