New FINRA Course Issues Compliance Reminders
MILWAUKEE –July 16, 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.
In conducting your business, you likely encounter many decisions every day that relate to sales practice issues, ethical decisions, and administrative and operational situations. As a registered representative, you must be mindful of many rules and regulations in your day-to-day business.
The course, “FINRA – Annual Compliance Reminders for Registered Representatives – Vol. 9,” uses scenarios adapted from actual FINRA disciplinary actions to remind registered representatives about their compliance obligations. Volume 9 covers cybersecurity, ethics, financial exploitation of seniors, outside business activities and private securities transactions, professional designations and suitability, and 529 savings plans.
Course Objectives Include:
– Identify Common Regulatory Requirements
– Routinely Meet your Compliance Obligations
– Recognize Potential Consequences of Failing to Comply
For questions regarding this or other FINRA Firm Element courses, please contact a Quest CE Sales Executive at 877-593-3366 or e-mail firstname.lastname@example.org. To view Quest CE’s Firm Element course catalog, click here.
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.