Quest CE Releases Course on Private Placements

MILWAUKEE –December 10, 2018– 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, “Private Placements – Vol. 2,” defines private placement transactions and addresses the rules and regulations surrounding these types of securities. Additionally, the course explains how private placements are filed in accordance with FINRA Rules: 5122 and 5123.

Course Topics Include:

  • Introduction to Private Placements
  • What Regulatory Provisions Apply to Private Placements?
  • Regulatory Notice 10-22
  • Contingency Offerings
  • How Are Private Placements Filed?
  • SEC Rule 144 – Selling Restricted and Control Securities

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.