Quest CE Releases IA Political Contributions Course

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

In an effort to prevent and discourage fraudulent, deceptive and manipulative practices, the SEC must continue to adapt regulation to changing market conditions. The course, “Political Contributions and Pay-to-Play for Investment Advisors,” provides an overview of the statues and amendments that have been made over the years to help discourage these types of practices. Additionally, the course provides definitions of related terms, clarifies exceptions to the rules and provides cases studies to help users to better understand the political contributions and pay-to-play rules.

Course Agenda Includes:

  • Regulatory Statutes
  • Amendments to Rules
  • Defined Terminology
  • Exceptions

For questions regarding this or other Investment Advisor courses, please contact a Quest CE Sales Executive at 877-593-3366 or e-mail sales@questce.com. To view Quest CE’s Investment Advisor 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.