New FINRA Course Covers Securities Regulation

MILWAUKEE –May 22, 2019– Quest CE, premier provider of compliance training and tracking technology solutions, today announced the addition of a new course to its FINRA e-learning catalog.

The course, “FINRA – Securities Regulation Fundamentals,” is designed to increase registered representatives’ familiarity with the structure of securities regulation in the U.S. Learning concepts and in-course activities highlight federal securities laws, rules and regulations, and regulators. Scenarios also highlight the distinctions between various investment professionals in the securities industry.

Course Topics Include:

  • Legislation Shaping the U.S. Securities Regulation
  • Mission and Jurisdiction of Industry Regulators
  • Distinguishing Investment Professionals

For questions regarding this or other FINRA Firm Element courses, please contact a Quest CE Sales Executive at 877-593-3366 or e-mail sales@questce.com. To view Quest CE’s Firm Element course catalogclick here.

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About Quest CE

For over thirty years, Quest CE has been the premier provider of compliance training and tracking solutions to the financial services industry. In addition to offering on-demand insurance and designation continuing education, Quest CE provides a complete spectrum of proprietary technology solutions for managing compliance risk exposures.

Serving more than 1,000 leading insurance carriers, broker-dealers, banks, and other financial institutions, Quest CE is committed to providing advanced custom solutions at cost effective rates, while providing a level of service that greatly surpasses that of our competitors. Quest CE is the single source solution for organizations’ training and compliance needs. For more information on Quest CE, visit www.questce.com.