Quest CE Offers New Annual Compliance Meeting on FINRA Rule 2111
MILWAUKEE – September 18, 2013 – Quest CE, premier provider of insurance continuing education and FINRA firm element training, is pleased to announce the addition of a new, on-demand Annual Compliance Meeting (ACM) module to its e-learning library. Authored by Quest CE’s team of industry experts, the module, “FINRA Suitability Rule 2111: An Institutional Focus” provides employees with key provisions to FINRA’s recently implemented suitability rule and recommends a number of ways to document compliance and mitigate risks related to unsuitable investments.
Upon completion of this module, registered persons will have a better understanding of FINRA Rule 2111, FINRA’s “Reasonable Basis Standard,” and risk-based mitigation strategies. While the focus of this course is FINRA’s Suitability Rule 2111, intuitively, it is impossible to make a suitable recommendation without first knowing one’s customer. Therefore, a brief discussion of FINRA Rule 2090 is also included in this training.
Featuring the industry’s largest selection of on-demand Annual Compliance Meeting modules, Quest CE’s solution ensures that, among other safeguards, each representative is provided the opportunity to discuss compliance issues that relate directly to the types of activities he conducts.
About Quest CE
For over twenty-five years, Quest CE has been the premier provider of Compliance Education to the financial services industry. In addition to offering Providership Administration and insurance continuing education (CE) for professionals holding insurance licenses and professional designations like the CFP, CPA, CLE, CIMA and CLU/ChFC designations, Quest CE also provides a complete spectrum of FINRA compliance training solutions including annually required Firm Element Training for registered representatives, on-demand Annual Compliance Meetings, Annual Compliance Questionnaires, Needs Analysis Surveys, Outside Business Activity Tracking, Gifts and Entertainment Tracking and Political Contributions Tracking.
Serving more than 630 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 their competitors. Quest CE is the single source solution for organizations seeking training and compliance needs.