Quest CE Releases FINRA Books & Records Course

MILWAUKEE –May 16, 2018– Quest CE, premier provider of compliance training and tracking technology solutions, today announced the addition of a new FINRA Firm Element course to its e-learning catalog.

The course, “FINRA: Books and Records for Operations Professionals,” is designed to help operations professionals understand their books and records obligations when conducting business. Additionally, the course provides a number of scenarios that emphasize the importance of adhering to regulatory record keeping and retention requirements and firm-specific guidance.

Course Topics Include:

  • Books and Records for Operations Professionals
  • Rules and Regulations
  • Books and Records
  • Scenarios & Feedback

For questions regarding this or other Firm Element courses, please contact a Quest CE Sales Executive at 877-593-3366 or e-mail 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