Quest CE Releases Course on Private Securities Transactions

MILWAUKEE – December 3, 2015 – Quest CE, premier provider of compliance training and tracking technology solutions, announced today the addition of a new FINRA Firm Element course to its e-learning catalog.

Authored by FINRA, the course “FINRA – Private Securities Transactions” covers rules and regulations governing the treatment of private securities transactions, and reviews obligations for registered representatives. Scenarios are presented to help registered representatives identify private securities transactions and the appropriate actions to take before engaging in them.

Course topics include:

  • Understanding Private Securities Transactions
  • Understanding Outside Business Activities
  • Comparing Private Securities Transactions and OBAs
  • Typical Scenarios
  • Helping a Family Member
  • Importance 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 complete Firm Element course catalog, click here.

Through an exclusive partnership with FINRA, Quest CE is one of but a few authorized re-seller of FINRA’s e-learning content. As of January 1, 2015, FINRA Firm Element is available for purchase only through vendor-approved, third-party training platforms.

###

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 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.