FINRA Course Released: Compliance Reminders

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

The course, “FINRA – Annual Compliance Reminders for Registered Representatives – Vol. 8,” uses scenarios adapted from actual FINRA disciplinary actions to remind registered representatives about their compliance obligations. The scenarios in volume 8 focus on the topics of cybersecurity, Form U4 disclosures, private securities transactions and insider trading.

Course Topics Include:

  • Compliance Reminders Introduced
  • Cybersecurity
  • Form U4 Disclosure Requirements
  • Insider Trading
  • Private Securities Transactions
  • Scenarios & Feedback

For questions regarding this or other FINRA 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. To view Quest CE’s AML 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.