MILWAUKEE – Quest CE, premier provider of compliance training and tracking technology solutions, today announced the addition of a new FINRA Firm Element course to its e-learning catalog.
The new course, “Regulation Best Interest for Compliance RRs & Supervisors,” identifies the components of the Securities and Exchange Commission’s (SEC’s) Regulation Best Interest (Reg BI) rule for registered representatives and their supervisors. While broker-dealers who make securities recommendations to retail customers are required to adopt policies and procedures to comply with Reg BI, there are also direct compliance requirements for registered representatives and this course will provide them and their supervisors with information about their respective obligations under the rule.
Course Agenda Includes:
- General Obligation
- Disclosure Obligation
- Care Obligation
- Conflict of Interest Obligation
- Compliance Obligation
- Record-Making and Recordkeeping
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 FINRA 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.
