MILWAUKEE – Quest CE, trusted provider of compliance training and tracking technology solutions, today announced the addition of the new Firm Element course, “FINRA and SEC Examination Priorities for 2024” to its Firm Element e-learning catalog.
The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) publish their yearly examination priorities letters at the start of each year with the registered firms and advisors under their supervision. These letters are invaluable resources for registered firms and members as they strive to fulfill their yearly compliance requirements. This course will offer a comprehensive summary of the content included in both the SEC and FINRA examination priorities letters, with a particular emphasis on the areas that will be subject to the greatest scrutiny in 2024.
Course Topics
- AML and Information Security
- Cyber Security and Technology
- Responsibilities with Customers
- Investor Protection
- Communication with Public
- Investment Products
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.
