MILWAUKEE, WI – Quest CE, trusted provider of compliance training and tracking technology solutions, announced today the addition of its new course, “Keeping Communications Compliant: A Supervisor’s Guide to FINRA’s Rules” to its Firm Element e-learning catalog.

This course explores the supervisory responsibilities tied to ensuring firm and representative communications meet FINRA’s standards for fairness, balance, and accuracy. Anchored in FINRA Rule 2210, with support from Rules 3110 and 4511 on supervision and recordkeeping, the course highlights the systems firms must have in place to properly review and retain communications through approved channels. Through case studies and interactive video scenarios, learners will examine common compliance gaps, such as incomplete disclosures, unapproved content, and off-channel messaging, while also addressing modern oversight challenges like hybrid work, digital marketing, and AI-assisted tools.

This course focuses on three core topics: 1) Understanding Communication Categories 2) Common Violations and Enforcement Trends, and 3) Supervising AI-Assisted Communications

Course Topics Include:   

  • Recordkeeping Duties
  • FINRA Rule 2210 Standards
  • Emerging Risks

For questions regarding this or other Firm Element courses, please contact us here. To view Quest CE’s Firm Element course catalog, click here.

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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 www.questce.com