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 course, “An Overview of FINRA Advertising Rules,” will focus on FINRA rules and regulations related to broker-dealer advertisements. The course will provide an overview of general terms, content standards, disclosure requirements, supervision, recordkeeping, and requirements to file certain advertisements directly with FINRA. Additionally, the course will briefly touch on SEC rules related to Investment Company, and Investment Adviser advertisements, as well as municipal security advertisements (covered under MSRB rules).
Course Topics Include:
- Communications with the Public and Advertising
- Social Media and Electronic Communications
- Internal Approval
- FINRA Filing Requirements
- Recent Violations
- SEC Rules – Investment Advisor Advertisements
- Advertising Rules of the MSRB
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.
