MILWAUKEE, WI – Quest CE, a trusted provider of compliance training and tracking technology solutions, announced today the addition of a new course, “Securities-Based Lending and Fully Paid Securities Lending,” to its Firm Element e-learning catalog.
Firm members gain an overview of securities-based lending and fully paid securities lending arrangements. Learners explore how these arrangements work, key risks, and important customer considerations. The course highlights critical differences between borrowing against securities and lending securities. Course takers also examine regulatory requirements, communication standards, and firm member responsibilities when discussing these arrangements with customers. Through practical examples, learners understand how to explain complex lending structures while maintaining compliance.
This course focuses on three core topics: 1) Securities-Based Lending in Practice, 2) Fully Paid Securities Lending in Practice, and 3) Regulatory Landscape: Key Rules and Standards.
Course Topics Include:
- Securities-Based Lending
- Key SBL Risks
- Fully Paid Securities Lending
For questions regarding this or other Firm Element courses, please contact us here. To view Quest CE’s Firm Element course catalog, click here.
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About Quest CE
For over thirty-five years, Quest CE has been a trusted provider of compliance training and tracking solutions to the financial services industry. In partnering with more than 2,400 leading insurance carriers, broker-dealers, registered investment advisers, and other financial institutions, Quest CE offers a full suite of proprietary technology solutions while delivering an unmatched level of customer service.
Through the delivery of advanced custom solutions, Quest CE honors its mission to empower financial institutions with easy-to-use technology that simplifies their compliance and continuing education programs. For more information on Quest CE, visit www.questce.com.
