MILWAUKEE, WI – Quest CE, trusted provider of compliance training and tracking technology solutions, announced today the addition of its new course, “FINRA and SEC Examination Priorities for 2026” to its Firm Element e-learning catalog.

Course takers review the 2026 regulatory priorities of FINRA and the SEC and how they affect today’s technology-driven markets. The course focuses on key risk areas including cybersecurity, external fraud, and anti-money laundering, with practical context around emerging technologies and AI-supported tools. Learners explore current expectations under Regulation Best Interest, communications and sales practices, market integrity, best execution, and market access controls. Recent developments related to the Consolidated Audit Trail and customer account information are also addressed, emphasizing how regulatory priorities translate into day-to-day responsibilities, sound judgment, and adherence to firm procedures.

This course focuses on three core topics: 1) Cybersecurity, Fraud, and AML 2) Communications & Sales Practices: What Regulators Are Watching, and 3) Trading and Market Integrity.

Course Topics Include:   

  • Regulatory Conduct
  • Emergency Financial Technology
  • Regulation Best Interest

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