MILWAUKEE, WI – Quest CE, a trusted provider of compliance training and tracking technology solutions, announced today the addition of a new course, “FINOP Fundamentals: Financial Responsibility at Broker-Dealers” to its Firm Element e-learning catalog.
Firm members gain an overview of the Financial and Operations Principal (FINOP) role and the financial responsibility requirements that help support a broker-dealer’s financial stability. Learners examine the FINOP’s primary responsibilities, the purpose of the SEC Net Capital Rule, and other key financial responsibility rules, along with the importance of accurate financial reporting. The course reviews common FINRA examination findings related to net capital compliance.
This course focuses on three core topics: 1) Regulatory Framework and the Net Capital Rule, 2) Financial Responsibility in Action, and 3) Best Practices for Supporting Financial Responsibility.
Course Topics Include:
- The FINOP’s Role
- Financial Reporting
- Net Capital
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.
