As FINRA and the SEC release their 2024 exam priorities, it’s crucial for financial professionals to equip themselves with the right tools and knowledge to excel in their upcoming exams. Fortunately, Quest CE offers a comprehensive suite of courses tailored to address the most pressing topics and concerns highlighted by these regulatory bodies.

Conquering 2024 Exam Priorities Efficiently

Quest CE understands the importance of having a comprehensive and efficient study plan for your 2024 exams. That’s why we’ve developed a cutting-edge course, “FINRA and SEC Examination Priorities for 2024” (course ID #21884), which serves as a one-stop shop for all the essential material you need to master. This meticulously crafted course provides a thorough overview of the SEC and FINRA examination priorities, with a special emphasis on critical topics such as Anti-Money Laundering (AML), Cybersecurity, Regulation Best Interest (Reg BI), and more.

Looking to dive deeper into specific topics? Don’t worry we’ve laid those out for you as well, read on to see our top picks for courses to focus on…

Navigating the Artificial Intelligence Frontier

With the rapid advancement and increasing prevalence of AI in the financial sector, it comes as no surprise that AI has emerged as a top priority in this year’s exams. As financial institutions continue to explore the potential benefits and implications of AI on the industry, Quest CE is proud to introduce our latest course, “AI in Finance: Navigating Compliance and Ethical Considerations” (course ID #21862). This course is designed to provide financial professionals with an in-depth understanding of AI’s role in the financial landscape, equipping them with the knowledge and tools needed to navigate the complex regulatory environment and ethical considerations surrounding AI.

Mastering AML: Achieving Compliance Excellence

Anti-money laundering (AML) remains a top priority in this year’s exams, with a focus on both private equity and fundamental principles such as Customer Due Diligence (CDD). With the importance of staying compliant and informed in this critical area, we offer a comprehensive range of AML-focused courses. For investment advisors, our “Anti-Money Laundering for Investment Advisors – Vol. 2” (course ID #21119) provides an in-depth look at the Currency and Foreign Transactions Reporting Act of 1970 and how the Department of the Treasury works to detect and prevent money laundering. For those seeking to deepen their understanding of Customer Due Diligence and Suspicious Activity Reporting (SAR), our newly released course, “Advanced Strategies in AML Compliance and Enforcement” (course ID #21857), offers valuable insights and practical strategies to help professionals navigate these complex topics.

Exploring Reg BI’s Evolving Landscape

Regulation Best Interest (Reg BI) has been a topic of growing importance since its implementation in 2020, with both FINRA and the SEC closely monitoring firms’ compliance. As many firms struggle to properly implement Reg BI, staying informed and up to date on the latest developments is more critical than ever. To help financial professionals navigate this complex regulatory landscape, we offer the course “Regulation Best Interest Update: Recent Regulatory Developments” (course ID #21189). This comprehensive course provides a deep dive into the recent regulatory actions brought forth by both FINRA and the SEC, as well as an in-depth analysis of FINRA’s 2023 report on
examination findings related to the implementation of Reg BI.

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About Quest CE

For over thirty-five years, Quest CE has been a trusted provider of compliance training and tracking solutions to the financial services industry. In partnering with more than 2,400 leading insurance carriers, broker-dealers, registered investment advisors, and other financial institutions, Quest CE offers a full suite of proprietary technology solutions while delivering an unmatched level of customer service.

Through the delivery of advanced custom solutions, Quest CE honors its mission to empower financial institutions with easy-to-use technology that simplifies their compliance and continuing education programs. For more information on Quest CE, visit