MILWAUKEE – Quest CE, premier provider of compliance training and tracking technology solutions, today announced the addition of the new Firm Element course, “Department of Labor Prohibited Transaction Exemptions,” to its e-learning catalog.

This course begins by laying out the origins of prohibited transactions and provides an overview of the Department of Labor and the Employee Retirement Income Security Act of 1974, otherwise known as ERISA. It explains what prohibited transactions are, the types of transactions that are exempt, and penalties that may be incurred if there is a violation. This course also covers the exemption process and concludes with an examination of the most recent exemptions that have been made for prohibited transactions.

Course Topics Include:

  • The Department of Labor
  • The Employee Retirement Income Security Act of 1974 (ERISA)
  • Prohibited Transactions
  • Exemptions to Prohibited Transactions
  • Exemption Procedure
  • Penalties of Misconduct
  • Prohibited Transaction Corrections
  • How to Avoid Prohibited Transactions
  • Historical Prohibited Transaction Exemptions
  • Real-life Scenarios

For questions regarding this or other Firm Element courses, please contact a Quest CE Sales Executive at 877-593-3366 or e-mail To view Quest CE’s Firm Element course catalog, click here.


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