MILWAUKEE – Quest CE, premier provider of compliance training and tracking technology solutions, today announced the addition of the new Firm Element course, “FINRA and SEC Examination Priorities for 2021,” to its e-learning catalog.
As a way to increase transparency between regulators and the registered firms and advisors they oversee, the SEC and FINRA release their annual examination priorities letters at the beginning of each year. These letters serve as a great resource for registered firms and members as they work to meet their annual compliance obligations. This course will provide a general overview of what was included on both the SEC and FINRA examination priorities letters while highlighting the specific areas which will receive the most attention in 2021, including Regulation Best Interest and Form CRS, Cybersecurity and Anti-Money Laundering.
Course Topics Include:
- Anti-Money Laundering
- Cybersecurity
- Outside Business Activities & Private Securities Transactions
- Maintaining Proper Books and Records
- Regulatory Events Reporting
- Reg BI and Form CRS
- Communication with the Public
- Private Placements
- Variable Annuities
- Best Execution
- Retail-Targeted Investments
- Retail Investors
- RIAs to Private Funds
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.
