Quest CE Offers Two New Annual Compliance Meetings

MILWAUKEE – March 12, 2014 – Quest CE, premier provider of insurance continuing education and FINRA firm element training, announced today the addition of two new Annual Compliance Meeting modules to its 2014 e-learning library. The modules, “FINRA Hot Topics” and “Information Security” are pre-built for ease-of-use and currently available to clients using both Quest CE’s Managed and Express Firm Element Training solution.

The ACM, FINRA Hot Topics, was created to address new and emerging FINRA exam priorities. The pre-built ACM incorporates four individual training modules, which include: The Role of the FINOP, Conflicts of Interest, Insider Trading, and Suitability: Red Flags for Seniors. It has 149 slides and is 90 minutes in length.

Information Security focuses on customer and firm data protection. The pre-built ACM features four individual modules, which include: A Guide to Professional Ethics, Code of Conduct, Information Security: Protecting You and Your Clients, and Online Identity Theft Scams. It has 114 slides and is 45 minutes in length.


Quest CE’s on-demand Annual Compliance Meetings provide an innovative, online approach to complying with FINRA Rule 3010. In utilizing Quest CE’s solution, firms have access to automated email notifications; an online, interactive meeting environment; mobile-ready technology; timed page flips; detailed completion reports for managers; time-stamped activities to easily track attendance; unique id and password for compliance security; and an attendee attestation at the end of every meeting. This functionality ensures that, among other safeguards, firm employees are actively engaging with course content.

Firms can utilize pre-built meetings or choose from a list of individual modules to create a custom solution best-suited for the firm.

Quest CE maintains the industry’s largest selection of on-demand Annual Compliance Meeting modules. However, if there is a topic you would like to see, that is not already available, please contact with your suggestions.


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 650 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.