MILWAUKEE – Quest CE, premier provider of compliance training and tracking technology solutions, today announced the addition of a new Firm Element course to its e-learning catalog.
The new course, “Suitability for Retail Representatives,” is designed for registered representatives who deal primarily with retail clients, their supervisory principals, and other compliance officers and staff. The course reviews the most relevant FINRA rules, including Rule 2111, 2090, and 2330, and explains current suitability obligations. It then gives an overview of relevant issues that FINRA focuses on when examining member firms, the results of recent exams, and several examples of enforcement actions taken by FINRA in the last quarter of 2019. The course then gives an overview of Regulation Best Interest (Reg BI), and shows how implementation in June of 2020 will change the concept of suitability and introduce a whole new set of regulatory requirements for broker-dealers and their reps.
Course Agenda Includes:
- FINRA Rule 2111 – Suitability
- FINRA Rule 2090 – Know Your Customer
- FINRA Rule 2330 – Member’s Responsibilities Regarding Deferred Variable Annuities
- FINRA Examinations, Findings and Enforcement Actions
- Regulation Best Interest (Reg BI)
For questions regarding this or other Firm Element courses, please contact a Quest CE Sales Executive at 877-593-3366 or e-mail sales@questce.com. To view Quest CE’s Investment Adviser course catalog, click here.
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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 www.questce.com.
