MILWAUKEE, WI – Quest CE, trusted provider of compliance training and tracking technology solutions, announced the addition of the new Firm Element course, “FINRA and SEC Examination Priorities for 2025” to its Firm Element e-learning catalog.
This course unpacks the SEC and FINRA’s 2025 examination priorities, focusing on critical areas including anti-money laundering, third-party vendor risk, Reg BI, extended hours trading, and market manipulation. Participants will gain practical insights to strengthen compliance programs and effectively prepare for regulatory examinations.
This course focuses on three core topics: 1) Improving Compliance with Trusted Contact Person Requirements, 2) Education vs Recommendation: Where Reg BI applies and 3) Managing Risks and Compliance in Extended Trading Hours.
Course Topics Include:
- Extended Hours Trading
- Cybersecurity and Technology Management
- Residential Supervisory Locations (RSLs) and Compliance Risk
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 advisors, 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
