Quest CE Releases Course on FINRA Rule 3160

MILWAUKEE –March 13, 2018– Quest CE, premier provider of compliance training and tracking technology solutions, today announced the addition of a new course to its e-learning catalog.

The course, “FINRA Rule 3160 – Networking Arrangements with Members and Financial Institutions,” lays out the rules for broker-dealers doing business on or off the premises of a retail financial institution with which it has a written networking agreement. The course provides a detailed overview of FINRA’s rule as well as SEC Rule 701, Regulation R, and offers examples of disciplinary actions associates with these rules.

Course Topics Include:

  • FINRA Rule 3160
  • SEC Rule 701, Regulation R
  • Notice to Members 97-89
  • Disciplinary Action

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.