FINRA and SEC Exam Priorities Course Now Available

MILWAUKEE – April 28, 2016 – 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 course, “FINRA and SEC Examination Priorities for 2016” is intended for compliance staff and supervisory managers responsible for uploading their firm’s compliance policies and procedures. The course starts out with a review of some of the top securities violations from 2015 and later provides guidance on FINRA and the SEC’s 2016 examination priorities letters, highlighting overlapping concepts. It also looks at some of the top super-sized fines from this past year and discusses strategies for building a sustainable culture of compliance.

Course Topics Include:

  • Fines and Regulation in 2015
  • Enforcement Action
  • FINRA Rule 2010
  • Supervision
  • Appeals to the NAC
  • Restitution
  • Super Sized Fines
  • Top Five Enforcement Fines in 2015
  • FINRA/SEC Examination Priorities
  • Creating a Culture of Compliance

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.

About Quest CE

For over twenty-five 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 also provides a complete spectrum of proprietary technology solutions for managing and supervising 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 seeking training and compliance needs. For more information on Quest CE, visit http://www.questce.com.