Quest CE Releases Course on Books and Records

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

The SEC requires that broker-dealers create and maintain certain records so that, among other things, the SEC, self-regulatory organizations, and state securities regulators may conduct effective examinations of broker-dealers.

The new course, “Books and Records for Operations Professionals,” offers guidance on the record keeping rules put in place by FINRA and the SEC. The purpose of these record keeping requirements is to ensure that records are readily available to regulators to review. This course highlights some of the applicable books and records requirements, answers frequently asked questions and provides relevant case studies .

Course Agenda Includes:

  • General Requirements
  • Integrity of Books and Records
  • Supervision
  • Record Keeping Format or Medium
  • Regulatory Notices: Protecting Customer Information
  • Key Social Media Sites
  • Frequently Asked Questions
  • A New FINRA Trend in 2017

For questions regarding this or other 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 catalog, click 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.